How to present your thesis A practical guide to requirements in form and style Research and Graduate Studies Office Prepared by Catherine Pilbeam September 2004; revised October 2005 Contents INTRODUCTION 1 PHYSICAL ARRANGEMENT Page setup Arrangement of material Page numbering 2 2 2 2 FORMATTING ISSUES General text Headings and display text Quoted matter 4 4 5 6 FIGURES AND TABLES Appearance Placement Labelling figures and tables Notes to figures and tables 9 9 10 10 11 CITING SOURCES Systems of documentation Footnotes and endnotes Formatting documentation 12 12 13 14 EXPRESSION Grammar issues Punctuation Spelling and word choice Abbreviations Revision and proofreading Presenting the finished thesis 16 16 17 20 20 22 23 APPENDIX 1 REGULATION 5.1 EXTRACTS The Degree of Doctor of Philosophy Masters Degrees by Research Professional Doctorates 24 24 26 27 APPENDIX 2 SAMPLE PAGES 30 Introduction Most research students would probably be surprised at the number of theses returned for revision (‘deferred’) by examiners simply because their authors did not respect the basic conventions of document presentation and written expression. Unless your thesis meets the required standard in both these areas, it will not pass—however brilliant the content. This guide introduces the major aspects of layout, format and expression that will require your attention during the preparation of your thesis or portfolio. Although it concentrates on thesis presentation, the advice given is also relevant to similar aspects of portfolio and research paper presentation. The guide does not address any issues concerning the research and development of intellectual content. All instructions in this guide are offered as general advice only. For more specific advice, candidates should consult the most current style manual and dictionary recommended for use in their discipline. Candidates should also take care to determine whether their School, supervisors and examiners have any special requirements regarding the presentation of the finished thesis. Finally, it is the responsibility of all candidates to ensure that the thesis complies with the requirements of University of Ballarat Regulation 5.1 for thesis and portfolio presentation. Relevant excerpts of this regulation are reproduced at the end of this guide for reference. 1 Physical arrangement Page setup • • • • Use international size A4 (210 x 297 mm) acid-free bond paper. Text should appear on one side of the paper only. Margins: Right: at least 1.9 cm; Left: at least 3.8 cm; Top & Bottom: 2.54 cm All headings, text, figures and tables should remain within margins. Arrangement of material The material to be included in the thesis should be arranged within the following sections: • • • Preliminary pages: All material necessary to prepare the reader for the main text to come by giving information relating to its physical contents and background. Main text: The main body of the thesis divided into chapters. End matter: All reference material that supports or adds to the reader’s understanding of the main text. Details of the contents of these sections and their usual arrangement are displayed opposite. Sample pages of the various sections can be found at the end of this booklet. Page numbering There are two distinct sequences of pagination: • • The preliminary pages should be numbered in a single sequence (beginning with the title page) using lower-case roman numerals (i, ii, iii, iv…). The main text and end matter should be numbered in a single sequence (beginning with the first page of the main text and continuing through to the final page of the end matter) using arabic numerals (1, 2, 3, 4…). Although all pages are assigned a page number, it is conventional for the page number not to be shown on the title page, any display or blank pages, or on the pages appearing before the table of contents. 2 PRELIMINARY PAGES Title Page Required. See Sample Title Page (Figure 1) on page 6. Abstract Required. A summary of thesis. Not to exceed 300 words. Statement of Authorship Required. To be signed and dated by candidate and supervisor Statement of Ethics Approval If your research required approval from an ethics committee, a signed approval statement from the relevant committee will need to be included. Acknowledgements Optional. An opportunity to acknowledge those who supported you academically, financially or personally in the completion of your research. Dedication Optional. Do not exceed more than a few words. Table of Contents Required. List sections, chapters and main headings, and give opening page numbers. List of Figures Include figure numbers, captions and page numbers. List of Tables Include table numbers, titles and page numbers. List of Abbreviations Include only those abbreviations that are likely to be unknown to the reader, or abbreviations devised for use in the thesis. If the list is lengthy, this information may be better presented in a glossary in the end matter section. Preface Optional. Include here any information relevant to the background writing of the thesis; for example, if parts of your thesis have been published previously in other forms. (Note, however, that Introductory material to the text itself belongs in the introductory chapter.) MAIN TEXT Main chapters Can be numbered or just given titles. The chapters, their order and their usual content may differ depending on the subject or discipline of the thesis. END MATTER Appendices Information supporting or supplementing the text, e.g., sample questionnaires, confidentiality forms. Each appendix should be given a descriptive title and a brief explanation of its purpose. Glossary Include only those technical or foreign words or terms unlikely to be known by the reader. Arrange items alphabetically, giving their definition (and translation, if appropriate). If the glossary contains only a few entries, it may be better placed in the preliminary section. References/ Bibliography What is required here will differ according to the documentation style being used; note style requires a bibliography; author-date style requires a reference list, and sometimes a bibliography as well. (See section on Citing Sources.) 3 Formatting issues A lengthy and complex document such as a thesis should be formatted in a way that will support close and concentrated reading. When you are making formatting decisions, it is important to focus on producing a document that is easy on the eye, logical in design and consistent in presentation. General text Type size and appearance All body text should be set at 11 pt or 12 pt type size. Serif fonts (e.g., Times New Roman) are considered easier to read (particularly if the text is fully justified), but sans serif fonts (e.g., Arial) are also acceptable. Line and paragraph spacing Lines within paragraphs should be 1.5-spaced or double-spaced. Spacing between paragraphs will depend on how new paragraphs are signalled: if the first line of each paragraph is indented, there is no need for extra space between paragraphs because the indention acts as a visual separator; however, if block paragraphing is used, a space between paragraphs is needed to avoid the paragraphs running together. Do not mix the two methods. Spaces between sentences Insert one space only between sentences. (Documents produced using wordprocessing software have proportionally spaced characters (unlike monospaced typewriter characters) rendering the traditional two spaces unnecessary. Paragraph alignment Although documents may look ‘neater’ with fully justified text, ragged-right alignment is easier to read (particularly in text-dense documents). Ragged-right alignment also reduces the gaps between words and end-of-line hyphenation that can occur with fully justified text. Italicising, underlining and bolding Italic type should be reserved for the following: titles of books, journals, plays, films, television programs; foreign words and phrases; genera, species and varieties; the first use of a new, technical, or key term or label; letters, words or phrases cited as linguistic examples; and letters used as statistical symbols or algebraic variables. Do not use italics for common foreign phrases and abbreviations (‘et al.’, ‘per se’, ‘ad lib.’) or for emphasis (unless it is done very sparingly). Underlining and bolding of type should be avoided in general text. 4 Headings and display text The design of chapter headings, main headings and subheadings will depend on personal preference and any established conventions in your discipline. Remember that headings and subheadings act as signposts for the reader, so use logic when planning their wording and structure, and use common sense design principles when deciding on their appearance. Once formatting decisions have been made, apply that formatting consistently and correctly to each heading rank so that the readers can identify where they are with confidence. Type size and appearance Type size can be an obvious and effective indicator of a heading’s rank, but be prepared to prune or reword headings if using a large type size. (Overly long headings are not a good practice, in any case, regardless of size restrictions.) Typeface should be chosen with the aim of producing a professional-looking document. A sans serif typeface for headings looks crisp and can create an effective contrast to serif body text. Boldface type can also be used to effect, but be careful with underlining—too much is visually distracting. Line spacing Always have more space above a heading (or subheading) than below it, in order to connect it visually to the text it heads. Headings should not appear alone or with less than two lines of text at the bottom of a page. (Most word processing programs do this by default by enforcing ‘widow/orphan control’ in paragraph and heading formatting styles.) Capitalisation style When making design choices for headings, you will need to decide on a capitalisation style. The three main styles of capitalisation are: • Headline (or title) style, which gives an initial capital to all words except prepositions and conjunctions: Anxiety Ailments Suffered by Students at the University of Ballarat and the University of Melbourne. • Sentence style, which gives an initial capital to the first word in the heading (and subheading) and any proper nouns: Anxiety ailments suffered by students at the University of Ballarat and the University of Melbourne. • Full capitalisation, which capitalises every letter in every word: ANXIETY AILMENTS SUFFERED BY STUDENTS AT THE UNIVERSITY OF BALLARAT AND THE UNIVERSITY OF MELBOURNE. It is quite acceptable to use a different capitalisation style for different ranks of heading (e.g., Heading A: full capitalisation, Heading B: sentence style, etc.), but do not change capitalisation style within a heading rank. 5 Alignment Headings can be left-aligned, centred or indented depending on personal preference or discipline-specific convention. Contents list entries Entries in the table of contents, list of figures and list of tables may differ in appearance to the corresponding headings in the main text; however, they should match exactly the wording of the corresponding text headings. Entries should show the beginning page numbers only. Page numbers are normally set with a right-aligned tab stop, with optional leader dots. It can be a good idea to regularly generate an ‘evolving’ table of contents as you write and use it to test the following as you proceed: • Do the headings and subheadings follow in a logical sequence? • Are the headings in each heading level of equal rank? • Does the heading wording give a clear indication of what is to come? • Is the wording parallel in structure? • Are there any ‘missing’ headings? Headers and footers The information displayed in headers and footers should be formatted differently from the body text so that the reader does not mistake it for body text. Acceptable ways of doing this are capitalising (full or initial capitals), italicising, bolding, or using a smaller type size or font. The information displayed in the header/footer should be limited to page numbers and—if acceptable in your discipline—chapter titles. The headers and footers of display pages, blank pages, and any pages appearing before the table of contents should be empty, as should the header of the opening page of a chapter. Quoted matter Accuracy is paramount when transcribing quoted matter. Take care to preserve the exact spelling, punctuation, and paragraphing of the original, and always give credit to those you are quoting directly or through paraphrase. Be aware that in special circumstances you may also be required to obtain permission from the author (or owner of the copyright or literary rights) to use the quoted matter. It is wise to avoid using too much quoted matter—quotes should be used to support your argument, not establish it. Epigraphs An epigraph is a quotation or saying used to open a section or chapter of a book and to point to its theme. Epigraphs are set off from the general text and do not require surrounding quotation marks. The source is placed below the epigraph. The surest way to make a monkey of a man is to quote him. Robert Benchley 6 Run-in or set-off quotations The length of the quoted matter will determine whether it is run-in (integrated into the text) or set-off (set apart from the rest of the text). Run-in quoted matter should be surrounded by quotation marks and set in the same typeface and type size as the body text. Roberts (2003, p. 21) refers to it as ‘structuration gone mad’, but his bias is well known. Set-off quoted matter—also known as block quotations, excerpts, or extracts— should be set in the same typeface as the body text but two points smaller in size. It should be indented on the left side (and right side, if desired) to distinguish it from the body text. Paragraphing should follow that of the original. Surrounding quotation marks are not required. This is the body text. This is the body text. This is the body text. This is the body text. This is the body text. This is the body text. This is the body text. This is the body text. This is the body text. This is the body text. This is the body text. This is the body text. This is an example of set-off quotation. This is an example of set-off quotation. This is an example of set-off quotation. This is an example of set-off quotation. This is an example of set-off quotation. This is an example of set-off quotation. This is an example of setoff quotation. This is an example of set-off quotation. This is the body text. This is the body text. This is the body text. This is the body text. This is the body text. This is the body text. This is the body text. This is the body text. This is the body text. This is the body text. This is the body text. This is the body text. Different style guides give different advice as to how long quoted matter should be before it is set-off (ranging from ‘over four’ to ‘over ten’ lines); however, the determining factor should be the look and readability of your page. It is probably kinder to your reader to set off any quoted matter that is longer than four lines. Punctuation of quoted matter The punctuation of quoted material differs according to the style being followed. The traditional British/Australian style places full stops and commas inside the quotation marks only if they are part of the quoted matter. The US style, however, ’tucks’ full stops and commas within the closing quotation mark even if they belong to the surrounding sentence. Style guides also differ in advice on whether to use of single or double quotation marks. Some styles recommend using single quote marks (with double quote marks for quotes within quotes), while others recommend using double quote marks (with single quote marks within). Consult your chosen style guide for specific advice. 7 Changes from original quotation Occasionally, quoted material may require a correction, explanation, or amplification in order for it to be understood correctly, as in the following cases: • Omission: If words or sentences have been omitted from quoted matter, insert an ellipsis (three dots) at the point of omission. (Ellipsis points are generally not used at the beginning or end of a set-off quotation.) ‘The belief…has been held for some time.’ • Addition or alteration: If you need to add or alter something in the quoted matter, place the added or altered material within square brackets. (This should be practised judiciously: do it only when the quotation may be unclear or misleading to the reader without your insertion.) ‘It was only when he [John Howard] heard about it, that action was taken.’ • Apparent mistake: If the quoted matter has an obvious error, insert the word ‘sic’ (Latin for thus/this way) in square brackets next to the mistake to indicate that it was present in the original (and not made by you). ‘The Eureka Rebellion of 1763 [sic] was a turning point in Australian history.’ • Emphasis: If you wish to draw attention to certain words within quoted matter, emphasis can be added with italics; however, you must make it clear to the reader that it is your emphasis (not the quoted writer’s) by adding an insertion. ‘The man entered the house through a window on the southern side [emphasis added].’ 8 Figures and tables Figures and tables should serve to supplement—not duplicate—the text. Discuss the tables and figures in detail in the general text to demonstrate their reason for inclusion. In the text, refer to all tables as tables and to all graphs, pictures, charts, photographs, drawings, diagrams, or maps as figures. All text references to tables and figures should include the table or figure number (e.g., ‘The results of this experiment can be seen in Table 3’; ‘A map of the area can be seen in Figure 6’. Do not write: ‘The results of this experiment are given in the table below’ or ‘A map of the area can be seen on the next page’. Note: Because the formatting of tables and figures is very time-consuming, it is wise to leave the final formatting until after you have finished writing the text. Additions or deletions to the text could result in a table or figure needing changes to its contents, location or inclusion, and if you have already spent time making it fit a particular space, you will have wasted valuable hours. Appearance Figures If you are creating the figures yourself, ensure they are as visually crisp and consistent in design as you can make them. Typeface and size can be different from the body text, but try to maintain some consistency with all figures throughout. If you are creating your own graphs, use shading instead of colour, and make sure all axes are clearly marked. If you have obtained your figures from another source, and thus have no control over their design, concentrate on correct and consistent placement and labelling. Tables There are no hard and fast rules here—your aim should be to produce clear, clean tables. The typeface does not need to be the same as the body text; in fact, a sans serif typeface (such as Arial) will probably give a cleaner look. It is better to avoid bold type, although this can be used in the column headings. The type size can be different from the body text, but do not use anything smaller than 8 point or larger than 14 point. The correct alignment of data within table columns will depend on the type of data contained in the table and the specific requirements of the subject area. Generally, all whole figures should be right-aligned, and all decimals should be aligned to the decimal point. Specific advice will be found in your chosen style guide. Note: Avoid using the space bar to align data within tables; even though it may look fine on the screen, in all likelihood the printed version will be a mess. Use tabs or paragraph alignment instead. 9 Too many rules in a table can be distracting, and most are actually unnecessary. All vertical rules and many horizontal rules can usually be left out of a table without altering readability. An effective technique is to use less space between rows of related information, and more space between rows of unrelated information. Once again, different subject areas will have different conventions regarding rules, so consult a manual in your discipline. Placement The figure or table must fit within the text area—do not go outside the page margins. Try to insert it as close as possible to the paragraph where it is first mentioned. Figures and tables are usually centred horizontally on the page; although, in some special cases, figures may be inserted into a paragraph and surrounded by text. If a table or figure is bigger than one page (in total), try one of the following fixes: • Run it over two pages, making sure you repeat the heading row. • Change page set-up to ‘landscape’ (make sure the label is also re-oriented). • Use a larger page, folded and bound as a normal page. Do not split a figure or table over two pages if it is less than one page in total. Instead, carry the table or figure over to the next page—as long as you don’t leave more than a third of a page of white space—or resize it to fit. Labelling figures and tables The size and appearance of type used for figure captions and table titles is open to personal preference. Generally, the size should be similar to the body text size, although the typeface can be different. Bolding of titles is an effective treatment. Whatever you decide on, use the same formatting throughout. Figures Figures should be numbered consecutively throughout the thesis using arabic numbers preceded by the word ‘Figure’ (or ‘Fig’). If you wish to use a separate sequence in each chapter, make sure you include the chapter number as well (e.g., Figure 4-2) so that each figure has a unique number to avoid confusion. The title of the figure is followed by the legend—a brief explanation of the figure, which can follow on directly from the figure title or be placed below it. The figure label is positioned below the figure, either centred or set flush left against the figure edge. Figure titles may be capitalised headline or sentence style, while legends are generally capitalised in sentence style. Figure 3 [number]. The Author’s Desk [title]. Left to right: Phone, lamp, blotter [legend] 10 Tables Tables should be numbered consecutively throughout the thesis in one sequence, using arabic numerals preceded by the word ‘Table’. If you wish to use a separate sequence for each chapter, make sure you use the chapter number as well (e.g., Table 5-7) to avoid confusion. The table number is followed by the title, which briefly identifies the table. This label is positioned above the table. Table 8. [number] Analysis of Variance for Classical Conditioning [title] The table title can run on directly from the number or be placed on the line below. Do not use a full stop at the end of the table number unless it is followed immediately by the table title. Table titles can be fully upper case or capitalised according to headline or sentence style, depending on preference. Labels for tables can be set either flush left with the edge of the table, or centred. Notes to figures and tables Figures Figures often require a note in the form of a credit line. This is a brief statement giving information about the source and/or copyright permission. Notes to figures are placed underneath the caption or legend. Tables Tables often require a note (or notes) to credit a source or to explain or amplify data included in the table. Notes to tables are placed flush left, directly below the table. They can be listed one below the other or run on (separated by full stops), but use one method consistently throughout. The main types of table notes and their conventional order of appearance follow: • Source notes: These are used when the table has been introduced without change from another source and are introduced by the word ‘Source’ (or ‘Sources') followed by a colon: Source: Adapted from “Fussy Lions,” by Brian B. Brown, Lion Gastronomy 12, 8. • General notes: These relate to the table as a whole and are introduced by the word ‘Note’ followed by a colon: Note: This table is a summary of three experiments. • Specific notes: These refer to a specific column, row, or entry and are introduced by a superscript lowercase letter, number, or symbol: d • Sparky suffered from a tooth abscess during the first round of feeding. Probability notes: These are used when a table contains values for which levels of probability (p values) are given. A single asterisk is used for the lowest level of probability, two for the next highest, and so on: *p ≤ 0.05. **p ≤ 0.001 11 Citing sources Systems of documentation In the process of completing your research, you will have relied on a variety of primary and secondary sources. These sources must be identified (at the relevant point in your text) and credited by supplying complete and accurate bibliographical details. Every direct quotation, all borrowed ideas, and all statistical and other measurable information must be credited in this way. If you fail to do this, you may be guilty of unethical behaviour, plagiarism and breach of copyright. To avoid this, keep detailed records of all your sources from the beginning. (The University of Ballarat strongly recommends the use of the reference database software EndNote for this purpose.) How the citations are organised, what they contain, and how they are displayed will depend on the system of documentation being used and the particular formatting conventions being followed. There is no single correct system of documentation, although most disciplines will have a preference for the use of one over others. The two most commonly used systems of documentation are the author-date system and the documentary note system. AUTHOR-DATE SYSTEM DOCUMENTARY NOTE SYSTEM Cites source to text in text, giving author Cites source to text in footnotes or endnotes, surname and date of publication only. usually giving full bibliographical details. Lists all cited sources in List of References. Lists all cited sources in Bibliography. Entries Entries contain full bibliographical details and contain full bibliographical details and are listed are listed alphabetically by author surname. alphabetically by author surname. May list background reading and suggestions May list background reading and suggestions for further reading in Bibliography. Entries give for further reading in Bibliography. Entries give full bibliographical details and are listed full bibliographical details and are listed alphabetically by author surname. alphabetically by author surname. Notes to text (footnotes and endnotes) contain Notes to text (footnotes and endnotes) may content information only. contain content and citation information. The author-date system The author-date system identifies the source briefly (author surname and publication date) in the relevant point in the text. Where there are several references to one work within a paragraph, it is not necessary to repeat the year of publication. Citations for different works within the same parentheses should be listed alphabetically and separated by a semi-colon. Bloggs and Cloggs (1922) showed that it was possible… The subjects were interviewed using the standard technique (Garth & Grey, 1998)… Many studies (Anderson, 1996, 1998; Benson, 1988; Crisp, 1995, 2002) have reported… 12 These brief text citations act as pointers to the full bibliographical details given in an alphabetically arranged list of References (also called Literature Cited or List of References) at the end of the document. Note that every entry in the References must have appeared as a cited source in the text and, conversely, all in-text citations must be included in the reference list. If you do wish to list other works such as secondary sources or works you feel would be of further interest to your readers, these should appear in a separate list, headed Bibliography. The author-date system is often preferred by those writing in the fields of the physical, natural and social sciences. Examples of styles using this system are the APA, MLA and Harvard styles. The documentary note system The documentary note system uses footnotes or endnotes to cite the source referred to in the text. If the full biographical details have been supplied in the footnotes or endnotes, it is not necessary, technically, to provide a separate list of cited sources, although it is conventional to provide one. This list is called a bibliography. Apart from the references cited in the text, the bibliography may also include works that have supported the author’s research, as well as suggestions for further reading. The bibliography can take the form of a straight alphabetical list of all cited sources, a list divided into categories, an annotated bibliography, or a bibliographical essay. The documentary note system of source citation is often preferred by those writing in the fields of arts, history and literature. Examples of styles using this system are the Vancouver and the Chicago styles. Footnotes and endnotes Footnotes and endnotes contain notes to the text. Depending on the information they contain, they can be classed as content notes or citation notes. Citation notes, which contain the bibliographical details of references cited in the text, are used in the documentary note system only. Content notes (also known as substantive notes) contain any information necessary to supplement or explain the text, and, as such, may be used in both the author-date system and the documentary note systems. Notes to text are added by inserting a superscript character (usually an arabic number) into the text at an appropriate point to stand as the note reference. The notes themselves are then displayed at the foot of the page (footnotes), or at the end of a chapter or section (endnotes), depending on preference. When deciding whether to use footnotes or endnotes, take into account the length of the individual notes and their total. If there are a large number of citation notes or a number of long individual content notes, it is preferable to use endnotes rather than footnotes. If, on the other hand, you have only a sprinkling of content notes throughout the work, then it may be more helpful to the reader to use footnotes. Footnotes and endnotes should be numbered consecutively throughout each chapter, and a new sequence of numbering should begin with each new chapter. 13 If chapters have citation notes and content notes, you may combine the two into one sequence (footnotes or endnotes) or have two sequences (e.g., endnotes for citation notes, and footnotes for content notes). If you do have two sequences, it is probably less confusing for the reader if the endnotes are numbered and the footnotes use a sequence of symbols. Do not run two sequences for only one type of note. Latin abbreviations vs. short form in citation notes Citation notes are often repetitive: the same work by the same author may be repeated many times. In such cases, instead of repeating the whole citation, it has been traditional to use Latin abbreviations as space-savers; for example, ‘ibid.’ (ibidem, in the same place); ‘op. cit.’ (opere citato, in the work cited), and ‘loc. cit.’ (loco citato, in the place cited). 1. Barry B. Bloggs, Psychological Problems in Retired Circus Monkeys (Ballarat: Eureka Press, 2001), 406. 2. Ibid. [Repeats the exact immediately preceding reference.] 3. Ibid., 95. [Repeats the immediately preceding reference but with a different page reference.] 4. Harold H. Hunt, “One Loud Suit and No Respect”, in Circus Monkey Retirement Stories, ed. James J. Jones (Melbourne: Wilson Press, 1982), 87. 5. Bloggs, op. cit., 24. [Repeats the reference cited in 1 but with a different page reference.] 6. Hunt, loc. cit. [Repeats the exact reference cited in 4.] However, if the notes are lengthy and there are many references between the repeated entries for the author or work, it can be frustrating (and potentially confusing) for the reader to have to refer back to the first mention of the work in order to find the title. Because of this, the use of ‘loc. cit.’ and ‘op. cit.’ has largely been replaced by the use of the ‘short form’ (the author’s last name and the title of the work) as a space-saver. If the title is longer than five words, it can be shortened for brevity, but make sure it is still identifiable. 1. Barry B. Bloggs, Psychological Problems in Retired Circus Monkeys (Ballarat: Eureka Press, 2001), 406. 2. Ibid. [Repeats the immediately preceding reference.] 3. Ibid., 95. [Repeats the immediately preceding reference but with a different page reference.] 4. Harold H. Hunt, “One Loud Suit and No Respect”, in Circus Monkey Retirement Stories, ed. James J. Jones (Melbourne: Wilson Press, 1982), 87. 5. Bloggs, Psychological Problems, 24. [Repeats the reference cited in 1 but with a different page reference.] 6. Hunt, “One Loud Suit.” [Repeats the exact reference cited in 4.] Formatting documentation When you format your documentary sources, you need to decide on a particular ‘style’ to follow to ensure documentary consistency throughout your thesis. ‘Style’ refers to the way different types of citations (book titles, journal articles, 14 personal communication, web pages, emails, visual media, etc.) and the elements within each citation (author, title, publisher, date and place of publication, etc.) are presented ‘Style’ also refers to the treatment of order of elements, punctuation, capitalisation, use of shortened or full forms, etc.) What follows is general advice on aspects of formatting documentation, such as line and paragraph spacing and type size and appearance. For direction regarding specific aspects of formatting documentation, refer to your chosen style manual. There are numerous guides available in print and online with specific and detailed advice on all aspects of citations and their formatting: use the one recommended to you by your supervisor and, as with all formatting throughout the thesis, apply the style conventions consistently. Footnotes and endnotes Typeface for footnotes and endnotes should be the same as the body text. The type size should be two points less than the chosen body text type size (i.e., 9 or 10 pt). Paragraph formatting can be either first line indent or hanging indent. Note that because footnote and endnote entries are not arranged alphabetically, there is no need to place the surname before the given name. Bibliography and List of References Typeface size and appearance should be the same as the body text. A hanging indent should be used for paragraphs. Entries in a list of references or a bibliography should be arranged alphabetically, with the surname preceding the given name. Works by the same author are arranged chronologically—earliest first, and then alphabetically by title. Works by a single author precede multi-author entries by the same author. Consult your preferred style manual for specific advice as to the treatment of initials versus full names; whether or not to invert only the first author’s name; how many joint authors before you should use ‘et al.’; how to treat date and place of publication and publisher; which capitalisation style to use; and so on. These issues will differ according to different style guides; the important thing is to be consistent throughout in whichever style you use. Treatment of page numbers in citations The use of ‘p.’ in front of the page number being cited is not necessary, although it does sometimes reduce ambiguity—particularly when citing journal articles. If you do use ‘p.’ with the page number, insert a space between the ‘p.’ and the page number being cited. If there is more than one page reference within a note, or if citing inclusive numbers, use ‘pp.’ Note that is important to be consistent in every citation when using or not using ‘p.’—mixing the two will confuse your reader, as well as look sloppy. (This is an area to concentrate on when proofreading.) 15 Expression The key to all successful writing lies in meeting the requirements of your audience. The audience for your thesis—your supervisor, peers, and examiners—will expect an organised, coherent and well-presented record of your research. In order to deliver this, you will need to pay attention to your written expression and have respect for the tools of grammar, spelling and punctuation. Be sure that your paragraphs are organised to help your argument along by building on what came before and preparing the reader for what comes next. A paragraph should contain only one developed idea. Do not repeat the same idea in different words in successive paragraphs. It is also important to watch the length of your paragraphs—if they run as long as a page they are too long. A paragraph break gives the reader a chance to process what they have just read. Avoid long, convoluted sentences; it is better to have two short clear sentences than one long and confusing one. If your readers need to re-read a sentence, they will be irritated rather than impressed. To keep your reader interested, vary the rhythm of your writing. Too many short sentences one after the other can irritate, while too many long sentences in a row may tire your reader. Try reading your writing aloud to pick up any problems in this area—this is also a good way of noticing missing or misplaced punctuation. Grammar issues Misplaced and dangling modifiers Modifiers are words or phrases that modify (add to or restrict) the ‘head’ noun in a sentence. Problems arise when the modifier is misplaced (away from the noun it is modifying) resulting in ambiguity. Be particularly aware of falling into this trap when writing in the passive voice or when using long and complex sentences. Modifiers can dangle when the noun they are meant to be modifying is assumed but not written, thus causing the noun that is there to be modified incorrectly— with ambiguous results. Misplaced and dangling modifiers can be avoided by always keeping the modifier close to the noun it is meant to be modifying. Passive and active voice Historically, the passive voice has been used in academic—particularly scientific—writing as a way of implying distance or impartiality on the part of the researcher. However, use of the passive voice can sometimes lead the careless writer to produce confusing and tortuous sentences containing an overabundance of nominalisations and prepositions. Aim for clarity above all else. 16 Tense Depending on the mode of writing at the time (reporting, discussing, attributing or analysing) the tense required may change; however, interpretations of the ‘correct’ tense to use can vary between disciplines, so it is wise to consult your supervisor for the accepted convention in your area of research. In general, use the past tense when reporting something that happened entirely in the past, such as the reporting of methods, experiments and results, or specific past findings or statements. The lions were each fed 3 kg of raw minced beef at two-hourly intervals. The lions gained weight during the summer months. In their 1989 study, Bloggs and Cloggs reported that… However, if part of what you are saying exists in the present (for example, a generally established fact or statement), then you should use the present tense for that part: In 1632, Galileo discovered that the earth orbits around the sun. Use the present tense when writing about something existing in the present, such as an analysis, interpretation, or conclusion of material under discussion. (The reason for using the present tense here is that, even though what you are writing about happened in the past, your interpretation, analysis, or conclusion is taking place in the ‘eternal’ present.) In The Great Gatsby, Fitzgerald presents Daisy as… Punctuation The purpose of punctuation is to make the meaning of a sentence clear by separating its elements. Correct use of punctuation, particularly commas, may make the difference between comprehensible and incomprehensible writing, especially when there are long and complex sentences involved. Full stop Use a full stop at the end of a grammatically complete sentence. The following items do not end with a full stop: headings or display lines (unless text follows on the same line); table titles or figure captions (unless a legend follows on the same line); or items in a vertical list (unless grammatically complete sentences). Semicolon A semicolon is used to separate two independent clauses of equal importance (connected in thought) that are not joined by a conjunction. Semicolons are also used to separate elements in a list or series that already containing commas, or where the elements themselves are long: The thesis was a disaster; he would never pass. I can’t stay much longer because I have to post the letters; buy the meat, bread, and vegetables; feed the cat and the children; and work on my thesis. 17 Colon A colon marks a pause for explanation, expansion, enumeration or elaboration. A colon should be used to introduce the following: a list; a block quotation (and in some cases a short quotation within a sentence); or a second clause which explains, elaborates on, or expands the first clause. Apostrophe An apostrophe is used to indicate contraction (where the apostrophe stands for omitted letters) or possession. An apostrophe is not used with the plural form. isn’t/hadn’t/it’s/can’t/you’ve/shouldn’t/what’s/who’s/they’re [contraction] Margaret’s book/The dog’s bone/The nation’s psyche/The children’s pet [possession] I ate the avocados /She went on holidays/The 1920s… [plural forms, so no apostrophe] A common mistake involving apostrophes is to use ‘it’s’ instead of ‘its’ and vice versa. The simple rule is that the pronoun ‘its’ (as with the pronouns ‘his’, ‘hers’, ‘theirs’, etc.) does not take an apostrophe to indicate possession. For example: The car lost its wheel/Its rear wheel needed replacing/Every dog has its day [pronoun] If, on the other hand, your ‘its’ is a contraction (of ‘it has’, ‘it is’, etc.) then an apostrophe is required. For example: It’s been a really dry summer/I don’t think it’s up to her to decide [contraction] Hyphens and dashes Hyphens and dashes are not the same and are not used for the same things. • A hyphen (-) separates the two parts of a compound word. Note that compound words can become single words over time (e.g., multi-disciplinary to multidisciplinary) so check your recommended dictionary to establish the current and correct usage of compound words. • An en dash/rule (–) is used to indicate a range of years or numbers (e.g., 1922–1925; pp. 7–10). An en-dash is also used to join compound adjectival phrases (e.g., post–Civil War). • An em dash/rule (—) is used to indicate a break in a sentence, often with more emphasis intended than would be suggested by a comma. Em dashes can be closed (no space on either side) or open (space on either side) depending on the style followed. • A 3-em dash/rule (———) is often used in bibliographies and indexes to stand for repeated successive entries of the same surname or item. En and em dashes can be inserted as special characters in word processing program. 18 Comma A comma is used to separate the following elements within a sentence: • Independent clauses joined by conjunctions (and, but, for, or, nor, yet, so). If the clauses are short, the comma can be omitted. She was anxious to submit her thesis by the end of May, but her supervisor felt it needed intensive revision and restructuring). Her dog was sick but she didn’t care. [short independent clauses] • Items in a list or series of three or more items. If there is a conjunction joining the last two items in a series or list and there is likely to be ambiguity (as in the second example below), a ‘serial’ comma is used. She bought butter, milk, jam, oranges, apples and bananas. His interests included volleyball, astronomy, cooking fresh produce, and cats. • Introductory phrases During the June semester break, Jennifer travelled to Sydney to attend a conference. • Contrasting phrases The research was difficult, not easy. • Conjunctive adverbs (i.e., namely, however, consequently, therefore, hence). Note that if the conjunctive adverb comes between two independent clauses (as in the second example below), it should be preceded by a semi-colon It was, however, the last time that such a meeting would take place. He had spent the entire weekend working; however, his thesis was still behind schedule. • Forms of address ‘What are you doing, Bill?’ ‘I’m eating, Jack.’ • Co-ordinate adjectives She did not know how she had produced such a long-winded, incomprehensible report. • Quoted elements within a sentence As Bill Bloggs always says, ‘good research needs commitment’. • Non-restrictive phrases and clauses (the information added is incidental and does not define the subject). Jennifer’s thesis, which had caused her no end of heartache, was awarded the prize. Barry’s yellow Torana, which he had bought five years ago, was involved in a bad accident. Restrictive phrases and clauses, on the other hand, are not set off by commas because they restrict (or define) the subject. The information they add to the sentence is essential to the definition of the subject. The thesis that was submitted by Jennifer Grant won the research prize. The yellow Torana that was driven by Barry was responsible for the accident. 19 Not understanding the distinction between non-restrictive and restrictive phrases and clauses can result in ambiguous writing. For example, consider the following sentence, which has two completely different meanings depending on the absence or presence of commas: All students at the University of Ballarat who are lazy and disorganised will fail. [Meaning: Only the lazy and disorganised UB students will fail] All students at the University of Ballarat, who are lazy and disorganised, will fail. [Meaning: All UB students will fail, and they are also lazy and disorganised.] Spelling and word choice Nothing lowers your academic credibility more effectively than poor spelling. If you are not sure of the correct spelling of a word or term, consult the dictionary recommended in your field, and avoid swapping between British/Australian and US spelling. Remember that although computer spellcheckers are useful in picking up typographical errors, they will not pick up correctly spelled words that have been used incorrectly. Contractions (it’s, don’t, can’t, etc.) are inappropriate in formal writing, as are clichés, jargon, slang, and gender-specific, racist or stereotypical language. Abbreviations Acronyms An acronym is an initialism or shortened form made into a word. Acronyms are not capitalised because they are treated as words: Radar: RAdio Detection And Ranging Sonar: SOund Navigation And Ranging Laser: Light Amplification by Stimulation Emission of Radiation Aids: Acquired Immune Deficiency Syndrome Units of measurement Abbreviate units of measurement when they are used with numerical values, but use the full form when they are used with words. (A space should be inserted between the number and the unit of measurement.) A 14 m length of rope was used to measure the track. The track was measured in metres. Initialisms Do not use full stops with initialisms (e.g., UB not U.B.). When using initialisms in text, the first use should always be preceded by the full form, with the initialism used in subsequent references. The University of Ballarat Rowing Club (UBRC) held its annual camp last week. The UBRC… 20 Symbols Check an approved guide in your discipline for specific advice on how to abbreviate and set units of measurement, mathematical symbols, chemical compounds, statistical symbols, equations, and so on. Latin abbreviations It is conventional to confine Latin abbreviations (a list follows) to reference and parenthetical use only. In normal running text, the English form is preferred. (An exception is ‘et al.’, which is used in text and parentheses when citing sources.) ABBREVIATION FULL LATIN FORM ENGLISH TRANSLATION c. or ca. circa about (used with dates) cf. confer compare con contra against e.g., exempli gratia for example et al. et alii (alia) and others et seq. et sequentes and the following etc. et cetera and so forth f.v. folio verso on the back of the page fl. flourit flourished (used with dates) i.e., id est that is ibid. ibidem in the same place id. idem the same inf. infra below loc. cit. loco citato in the place cited loq. loquitur he (or she) speaks MS manuscriptum manuscript N.B. nota bene take careful note ob. obit died op. cit. opere citato in the work cited pass. passim throughout (here and there) PPS post postscriptum a later postscript pro tem. pro tempore for the time being PS postscriptum postscript Q.E.D. quod erat demonstrandum which was to be demonstrated q.v. quod vide which see (use in cross-refs) sic sic so, thus, in this manner sup. supra above viz videlicet namely vs. or v. versus against 21 Revision and proofreading Revision and proofreading are laborious jobs and—because they must take place at the very end—ones for which you will likely have little enthusiasm. However, it is important to resist the temptation to do a superficial job; errors left uncorrected in the final draft may lead to the thesis being deferred. Note that you should allow sufficient time for revision and proofreading when calculating deadline dates. To review your thesis effectively, put yourself in the place of your reader and ask the following questions: Is the structure clear and logical? Does the introduction reflect the final draft? Are the headings logical and helpful? Is the thesis as comprehensive as it needs to be, and does it deliver what it promises? Does it successfully communicate what was intended to be communicated? If the answer to any of these questions is a less than a resounding ‘yes’, be prepared to rewrite and/or restructure. To ensure consistent treatment of words, terms and phrases throughout the thesis, it can be helpful to make use of a style sheet. A style sheet is simply a record of your own ‘house style’ of spelling, capitalisation, punctuation, word spacing, hyphenation and so on of names, places, terms, methods, experiments, equations, symbols and anything else likely to cause problems with consistency. During your research and preliminary writing, record the relevant item in the preferred style. The style sheet can then be consulted and added to when writing and proofreading. It can also be helpful to make a separate sheet to record general formatting decisions such as treatment of levels of heading, quoted matter, and figures and tables, as well as details of margins, paragraph alignment, and header and footer treatment. Proofreading requires a systematic and disciplined approach; some errors do not reveal themselves until they are hunted down. Leave some time between finishing the final draft and starting the proofreading. (Remember to allow for this when working out your final deadline.) This will not only refresh you mentally, it will also make it easier to change hats from ‘writer’ to ‘proof reader’. Divide the proofreading into jobs of one task. It is impossible to read through a lengthy document in one take and pick up every typographical error, spelling mistake, wrongly-formatted heading, and incomplete reference. It is easier to pick up mistakes when focusing on one thing. Do not try to do it all in one sitting—you will lose focus; take breaks, or even space the job over several days. It is a good idea to ask someone else to help you by checking the figures in the final draft versions of tables, formulae, calculations and so on, while you read aloud from the original, correct versions. 22 When proofreading, concentrate on accuracy and consistency in the following areas: • General text: headings and display text; quoted matter; footnotes and endnotes; bibliography and reference entries. • Page layout: margins; line and page breaks; large gaps of white space; headers and footers; page numbers. • Figures and tables: appearance; placement and alignment on page; alignment of data and ruled lines; labelling (naming and numbering); notes. • Documentation: all required entries present, complete and correct; in-text citations; footnotes and endnotes; bibliography and reference entries. • Table of Contents/List of Figures/List of Tables: all entries present and complete; wording of entries match text entry; no redundant entries; no missing entries. • General details: spelling and word choice; punctuation; grammar and syntax; abbreviations, mathematical symbols, etc; calculations, conversions, formulae, equations, etc; names of people, places, tests, technical terms, etc; page references and chapter references in text match final version; bulleted items, numbered lists, and alphabetical lists correct, in sequence, and consistently treated. • Physical arrangement: all sections complete; all pages and sections in correct order; pagination sequences complete and correct. Presenting the finished thesis The finished thesis should be presented for examination in soft binding (spiral or cloth) as follows: • • Masters candidates should present three copies for examination. Doctoral candidates should present four copies for examination. Once the thesis is passed, candidates should lodge four hardbound copies of the passed thesis in its final form with the Research and Graduate Studies Office to be distributed as follows: two copies for the University Library, one copy for the School, and one copy will be retained by the Research and Graduate Studies Office. 23 APPENDIX 1 Regulation 5.1 extracts The following extracts from the University of Ballarat’s ‘Regulation 5.1: The Degree of Doctor of Philosophy, Masters Degrees by Research and Professional Doctorates’ (pp. 7–9; 15–17; 27–29) relate to thesis and portfolio presentation and have been included in this booklet for ready reference. The Degree of Doctor of Philosophy Presentation of a Thesis 9. (1) The thesis presented by a candidate for examination shall conform with the requirements of this section unless otherwise agreed by the Board. (2) A PhD thesis will normally be: (a) a text of not more than 100,000 words reporting original scholarship and research carried out by the candidate under supervision, or (b) a major work or collection of works, including but not restricted to visual presentation, literary production or computer software development, carried out by the candidate under supervision and accompanied by an exegesis or scholarly commentary of between 20,000 and 40,000 words. (3) Intention to submit A candidate shall complete the approved proforma for his/her 'Intention to Submit' at least one month prior to their intention to present his/her thesis for examination. This proforma will identify the precise title of the thesis and be endorsed by the Principal Supervisor. The proforma must be accompanied by a summary of the thesis not exceeding 300 words. The student will be eligible to receive the grade of 'TD' on submission of the thesis to the Vice-Chancellor or nominee. (4) Presentation Candidates for higher degrees shall present for examination four copies of the thesis text. If the thesis includes a major work or collection of works, the major work or collection of works shall be presented in a format suitable for examination. A thesis may be rejected as unfit for examination if it does not conform to the requirements set out in this section. (5) General requirements (1) Unless the Board determines otherwise, written work submitted for examination shall be in the English language. (2) If the thesis is based on research conducted jointly, the nature and extent of the candidate's contribution to the research shall be clearly indicated. 24 (3) A candidate shall identify all sources of knowledge and the extent to which the work of others is being relied upon by providing appropriate acknowledgment, citation and reference in the text of the thesis and in the bibliography. (4) The text shall be written as concisely as possible. (5) The text shall be typed on good quality acid-free paper, international size A4 (297mm x 210 mm), using at least one and a half line spacing. (6) Text should be typed with margins of not less than 38 mm and 19 mm in width on the left-hand and right-hand sides respectively. (7) The candidate must check the typescript to ensure there are no typographical errors and that the spelling, punctuation and grammar are correct. (6) Arrangement (1) The thesis text shall incorporate, in the following order: (a) A title page setting out in the following order: (i) the full title of the thesis, (ii) the name and degrees of the candidate, (iii) the degree for which the thesis is submitted and a statement of whether the thesis is submitted in total or partial fulfilment of the requirements for that degree, (iv) the name of the School, (v) the name of the University and its address as follows: University of Ballarat PO Box 663 University Drive, Mount Helen Ballarat, Victoria 3353, Australia (vi) the month and the year in which the thesis was submitted for examination. (b) an index of contents (c) a summary of not more than 300 words. (d) A statement in the following words, signed and dated by the applicant: 'Statement of authorship’ Except where explicit reference is made in the text of the thesis, this thesis contains no material published elsewhere or extracted in whole or in part from a thesis by which I have qualified for or been awarded another degree or diploma. No other person’s work has been relied upon or used without due acknowledgment in the main text and bibliography of the thesis. 25 Masters Degrees by Research Presentation of a Thesis 9. (1) The thesis presented by a candidate for examination shall conform with the requirements of this section unless otherwise agreed by the Board. (2) A Masters by research thesis will normally be: (a) a text of not more than 40,000 words reporting original scholarship and research carried out by the candidate under supervision, or (b) a major work or collection of works, including but not restricted to visual presentation, literary production or computer software development, carried out by the candidate under supervision and accompanied by an exegesis or scholarly commentary of between 10,000 and 20,000 words. (3) Intention to submit A candidate shall complete the approved proforma for his/her 'Intention to Submit' at least one month prior to their intention to present his/her thesis for examination. This proforma will identify the precise title of the thesis and be endorsed by the Principal Supervisor. The proforma must be accompanied by a summary of the thesis not exceeding 300 words. The student will be eligible to receive the grade of 'TD' on submission of the thesis to the Vice-Chancellor or nominee. (4) Presentation Candidates for higher degrees shall present for examination four copies of the thesis text. If the thesis includes a major work or collection of works, the major work or collection of works shall be presented in a format suitable for examination. A thesis may be rejected as unfit for examination if it does not conform to the requirements set out in this section. (5) General requirements (1) Unless the Board determines otherwise, written work submitted for examination shall be in the English language. (2) If the thesis is based on research conducted jointly, the nature and extent of the candidate's contribution to the research shall be clearly indicated. (3) A candidate shall identify all sources of knowledge and the extent to which the work of others is being relied upon by providing appropriate acknowledgment, citation and reference in the text of the thesis and in the bibliography. (4) The text shall be written as concisely as possible. (5) The text shall be typed on good quality acid-free paper, international size A4 (297mm x 210mm), using at least one and a half line spacing. (6) Text should be typed with margins of not less than 38 mm and 19 mm in width on the left-hand and right-hand sides respectively. (7) The candidate must check the typescript to ensure there are no typographical errors and that the spelling, punctuation and grammar are correct. 26 (6) Arrangement (1) The thesis text shall incorporate, in the following order: (a) A title page setting out in the following order: (i) the full title of the thesis (ii) the name and degrees of the candidate, (iii) the degree for which the thesis is submitted and a statement of whether the thesis is submitted in total or partial fulfilment of the requirements for that degree, (iv) the name of the School, (v) the name of the University and its address as follows: University of Ballarat PO Box 663 University Drive, Mount Helen Ballarat, Victoria 3353, Australia (vi) the month and the year in which the thesis was submitted for examination. (b) an index of contents (c) a summary of not more than 300 words. (d) A statement in the following words, signed and dated by the applicant: 'Statement of authorship’ Except where explicit reference is made in the text of the thesis, this thesis contains no material published elsewhere or extracted in whole or in part from a thesis by which I have qualified for or been awarded another degree or diploma. No other person’s work has been relied upon or used without due acknowledgment in the main text and bibliography of the thesis. Professional Doctorates Presentation of a Portfolio 13. (1) The portfolio presented by a candidate for examination shall conform with the requirements of this section unless otherwise agreed by the Board. (2) A Professional Doctorate Portfolio will normally be: (a) advanced study reports for the units of coursework undertaken by the candidate; and (b) a research component, which may vary in length with each discipline with the norm being 60,000 words (or equivalent if presented in an alternative medium approved by the Board), undertaken by the candidate. This component may take the form of, for example: (i) a single research report; or, 27 (ii) a series of research reports bound together and accompanied by a written exegesis or scholarly commentary. If a series of separate research reports is submitted in the portfolio, these must demonstrate a systematic line of enquiry and investigation, and the accompanying exegesis should reveal and elaborate the line of enquiry and investigation pursued in preparation of the reports and provide commentary on individual reports and overall. The length for any one research report would normally be 7,500 words or equivalent, or (iii) any other combination of research output totalling around 60,000 words (or equivalent) approved by the Board, and (c ) evidence used for the granting of any credit by the Board (3) Intention to submit A candidate shall complete the approved proforma for his/her 'Intention to Submit' at least one month prior to their intention to present his/her portfolio for examination. This proforma will identify the precise title of the portfolio and be endorsed by the Principal Supervisor. The proforma must be accompanied by a summary of the portfolio not exceeding 300 words. The student will be eligible to receive the grade of 'TD' on submission of the thesis to the Vice-Chancellor or nominee. (4) Presentation Candidates for higher degrees shall present for examination four copies of the portfolio text. If the portfolio includes a major work or collection of works, the major work or collection of works shall be presented in a format suitable for examination. A portfolio may be rejected as unfit for examination if it does not conform to the requirements set out in this section. (5) General requirements (1) Unless the Board determines otherwise, written work submitted for examination shall be in the English language. (2) If the portfolio is based on research conducted jointly, the nature and extent of the candidate's contribution to the research shall be clearly indicated. (3) A candidate shall identify all sources of knowledge and the extent to which the work of others is being relied upon by providing appropriate acknowledgment, citation and reference in the text of the portfolio and in the bibliography. (4) The text shall be written as concisely as possible. (5) The text shall be typed on good quality acid-free paper, international size A4 (297mm x 210mm), using at least one and a half line spacing. (6) Text should be typed with margins of not less than 38 mm and 19 mm in width on the left-hand and right-hand sides respectively. (7) The candidate must check the typescript to ensure there are no typographical errors and that the spelling, punctuation and grammar are correct. 28 (6) Arrangement (1) The portfolio text shall incorporate, in the following order: (a) A title page setting out in the following order: (i) the full title of the portfolio (ii) the name and degrees of the candidate, (iii) the degree for which the portfolio is submitted and a statement of whether the portfolio is submitted in total or partial fulfilment of the requirements for that degree, (iv) the name of the School, (v) the name of the University and its address as follows: University of Ballarat PO Box 663 University Drive, Mount Helen Ballarat, Victoria 3353, Australia (vi) the month and the year in which the portfolio was submitted for examination. (b) an index of contents (c) a summary of not more than 300 words. (d) A statement in the following words, signed and dated by the applicant: 'Statement of authorship’ Except where explicit reference is made in the text of the portfolio, this portfolio contains no material published elsewhere or extracted in whole or in part from a thesis / portfolio by which I have qualified for or been awarded another degree or diploma. No other person’s work has been relied upon or used without due acknowledgment in the main text and bibliography of the portfolio. 29 APPENDIX 2 Sample pages Examples of the following elements of a typical thesis are displayed on the attached sample pages: • • • • • • • • • • • • • • • • Title page Abstract Statement of authorship Acknowledgements Table of Contents (showing three levels of heading) List of Figures List of Tables Running heads Pagination sequences Main text o general body text o headings (chapter headings, main headings, subheadings) Quotations o set-off (block) quotation o run-in quotation o epigraphs In-text citations o parenthetical citations o running text citations Figure labels Appendices Glossary List of References (in APA style) showing entries for the sources: o a book o a chapter in an edited book o a journal article o a poster presentation o a unpublished report o a web-page retrieved online These sample pages are for illustrative purposes only. Candidates should be guided by their preferred style manual for detailed advice. 30 Physical and Mental Health Benefits of Yodelling in Rural Tarakastan BARRY B. BARRINGTON This thesis is submitted in total fulfilment of the requirements for the degree of Master of Applied Science School of Voice Science University of Ballarat PO Box 663 University Drive, Mount Helen Ballarat, Victoria 3353 Australia Submitted in September 2004 ABSTRACT The report into the burden of disease of local government areas and regions of Tarakastan (Tarakastan Department of Human Services [TDHS], 2000) identified nonyodelling as a significant contributor to the burden of disease—especially cardiovascular disease—in the regional city of Chervull. With a regional focus absent from previous research, the current study examines Chervull’s levels of yodelling, the factors influencing these levels, the attributable health burden, and the community cost. Quantitative methodology was used for this study. A self-administered mail survey, based on the 1999 National Yodelling Survey (Dergel, Grover, & Thomas, 2000) and the Albanian Yodelling Survey (Albanian Fitness and Lifestyle Research Institute, 1983), was mailed to 4,780 randomly selected Chervull residents. The survey received a 40% response rate. Statistical analyses involved descriptive analysis, chi square test and multivariate logistic regression analysis, with Bonferroni correction factor employed where appropriate. One third of Chervull respondents (33.4%) were found to be insufficient yodellers. There were more sufficiently yodelling respondents (66.6 %) than the national average, largely due to higher rates of hilly areas. The proportion of cardiac disease attributable to insufficient yodelling was 15.4% (PAR), and the overall annual cost for coronary heart disease (CHD) and stroke attributable to non-yodelling was $2.15 million. A one percent decrease in the rate of non-yodelling would result in a $58,904 reduction in the annual health care cost of CHD and stroke. STATEMENT OF AUTHORSHIP Except where explicit reference is made in the text of the thesis, this thesis contains no material published elsewhere or extracted in whole or in part from a thesis by which I have qualified for or been awarded another degree or diploma. No other person’s work has been relied upon or used without due acknowledgement in the main text and bibliography of the thesis. Signed:___________________________ Signed:___________________________ Dated: ___________________________ Dated: ___________________________ Barry B. Barrington Professor Patricia Parker Candidate Principal Supervisor ACKNOWLEDGEMENTS I would like to express my sincere thanks to my supervisor, Professor Patricia Parker, School of Yodelling and Human Voice Sciences, for the enormous amount of time and support she has given me throughout this project. I also give sincere thanks to Dr. Gary Garfield, School of Singing, who has given me tremendous support throughout this project. I would like to acknowledge Professor Darcy Darriwell, University of Tarakastan, who has provided me with his expertise and advice for this project; Bulstrode Adams from the National Yodelling Association of Australia; Esme Melville, Chief Executive Officer, OzYodel; and Gino Barbaro, Secretary, Eureka Yodelling Inc. My thanks and appreciation are also extended to the following people who have supported me in undertaking this postgraduate research degree program: Anne Anderson, Benny Burrows, Christine Carter, Dennis Dirigible, and Erica Edmondson. Finally, I would like to acknowledge my family—my wife, Beulah, and my children, Brenton and Bianca—for always being there for me during the last three years of hard work, and for sharing in my love of yodelling. TABLE OF CONTENTS LIST OF FIGURES ................................................................................................................................... VIII LIST OF TABLES....................................................................................................................................... IX INTRODUCTION ..........................................................................................................................................1 Rationale ....................................................................................................................................................1 Disease Burden, Tarakastan...................................................................................................................................... 2 Yodelling Patterns in Tarakastan..................................................................................................................2 Factors Affecting Yodelling in Tarakastan ............................................................................................................... 3 Significance of the Study..............................................................................................................................4 Statement of the Problem .............................................................................................................................4 Statement of Purpose....................................................................................................................................4 Research Questions ......................................................................................................................................5 Assumptions .................................................................................................................................................6 Delimitations ................................................................................................................................................6 Limitations ...................................................................................................................................................6 LITERATURE REVIEW ................................................................................................................................7 Historical Background of Yodelling.............................................................................................................7 Yodelling and Health..................................................................................................................................10 Lifestyle Issues ....................................................................................................................................................... 10 Benefits of Yodelling.............................................................................................................................................. 10 Yodelling and Body Weight.......................................................................................................................26 Yodelling and Mental Health .....................................................................................................................39 Depression .............................................................................................................................................................. 39 Health and Well-Being ........................................................................................................................................... 41 Cognitive Function ................................................................................................................................................. 42 Yodelling Measurements............................................................................................................................48 Telephone Surveys.................................................................................................................................................. 49 International Yodelling Surveys ............................................................................................................................. 52 Barriers and Facilitators Affecting Participation in Yodelling ...................................................................55 Environmental Factors ............................................................................................................................................ 56 Psychosocial Factors............................................................................................................................................... 56 Health Factors......................................................................................................................................................... 58 Yodelling Models .......................................................................................................................................61 Ecological Model.................................................................................................................................................... 61 Social Cognitive Theory ......................................................................................................................................... 64 Transtheoretical Model ........................................................................................................................................... 66 Summary ..................................................................................................................................................68 v Table of Contents METHODOLOGY .......................................................................................................................................70 Research Aims............................................................................................................................................70 Research Approach Overview ....................................................................................................................70 Selection of Participants .............................................................................................................................70 Instrument and Procedure...........................................................................................................................71 Construction of the Instrument ............................................................................................................................... 71 External Input into the Questionnaire ..................................................................................................................... 72 Pilot Studies ............................................................................................................................................................ 72 Data Collection...........................................................................................................................................73 Administration and Procedures............................................................................................................................... 73 Survey Promotion ................................................................................................................................................... 73 Response Rate......................................................................................................................................................... 74 Data Entry Personnel Recruitment and Data Entry ................................................................................................. 74 Data Management.......................................................................................................................................75 Data Analysis .............................................................................................................................................76 RESULTS ...................................................................................................................................................78 Demographic Profile of Respondents.........................................................................................................78 Age and Gender ...................................................................................................................................................... 78 Children in Household ............................................................................................................................................ 79 Language, Marital Status, Education, Occupation .................................................................................................. 80 Body Mass Index (BMI) ......................................................................................................................................... 82 Yodelling Patterns ......................................................................................................................................83 Sessions of Yodelling by Gender............................................................................................................................ 83 Total Sessions Spent in Yodelling by Age Group................................................................................................... 85 Total Time Spent in Yodelling During Previous Week .......................................................................................... 86 Yodelling During Previous Week (Mean Minutes) by Age and Gender................................................................. 86 Yodelling Levels of Respondents...............................................................................................................89 Demographic Characteristics .................................................................................................................................. 90 Yodelling Knowledge ............................................................................................................................................. 94 Motivational Readiness........................................................................................................................................... 95 Social Support......................................................................................................................................................... 96 DISCUSSION............................................................................................................................................ 113 Introduction ..............................................................................................................................................113 Yodelling Levels ......................................................................................................................................113 Choice of Instrument ............................................................................................................................................ 116 Demographic Profiles Respondents ...................................................................................................................... 118 Yodelling Patterns of Respondents ....................................................................................................................... 120 Cost of Illness Attributable to Insufficient Yodelling ..............................................................................125 Theoretical Models and Yodelling Determinants.....................................................................................127 Individual Level.................................................................................................................................................... 128 Interpersonal Processes and Primary Groups........................................................................................................ 133 Organisational (Environmental)............................................................................................................................ 134 vi Table of Contents CONCLUSION.......................................................................................................................................... 137 Yodelling Levels ......................................................................................................................................137 Comparison of Results ............................................................................................................................137 Public Health Burden of Insufficient Yodelling.......................................................................................138 Factors Affecting Yodelling .....................................................................................................................138 Future Research........................................................................................................................................140 APPENDIX 1 ~ 2002 YODELLING SURVEY ........................................................................................... 140 APPENDIX 3 ~ REMINDER LETTER....................................................................................................... 145 APPENDIX 3 ~ 1997 YODELLING TARAKASTAN SURVEY ................................................................. 146 GLOSSARY.............................................................................................................................................. 147 REFERENCES ......................................................................................................................................... 150 vii LIST OF FIGURES Figure 1 Conceptual Framework Map ......................................................................................................5 Figure 2 Relationship Between Yodelling and Longevity .....................................................................24 Figure 3 Socioecological Model ............................................................................................................83 Figure 4 Survey Response Pattern .........................................................................................................98 Figure 5 Physiological Response to Yodelling .....................................................................................126 viii LIST OF TABLES Table 1 Age and Gender of Chervull Residents ..................................................................................104 Table 2 Number of Children in Household of Chervull Residents......................................................105 Table 3 Main Language, Marital, Educational, Occupational Status ..................................................106 Table 4 BMI Categories by Age, Gender, Education Level ................................................................107 Table 5 Sessions of Yodelling in Previous Week by Gender ..............................................................109 Table 6 Sessions of Yodelling in Previous Week by Age ...................................................................110 Table 7 Total Minutes Spent on Yodelling in Previous Week ............................................................111 Table 8 Mean Minutes of Yodelling in Previous Week, Age & Gender .............................................112 Table 9 Yodelling Levels in Previous Week by Gender & Age ..........................................................113 Table 10 Motivational Readiness to Yodel............................................................................................114 Table 11 Yodelling and Educational Level ...........................................................................................114 Table 12 Demographic Characteristics, Chi Square Comparisons ........................................................117 Table 13 Television/VCR Watching, Recreational Computer Use by Yodelling Level........................118 Table 14 Yodelling Confidence by Yodelling Level, Chi Square Results ............................................119 Table 15 Knowledge of Yodelling and Health, All Respondents..........................................................120 Table A1 Proportion of Diseases Attributable to Non-Yodelling (Calculation of PAR)........................194 ix INTRODUCTION Example of an epigraph. Example of an epigraph. Example of an epigraph. Hippocrates (ca 460–377 BC) Rationale Even though the prevalence of yodelling-induced disease (YID) has decreased significantly during the past 30 years, it remains the major cause of death in Tarakastan (Tarakastan Institute of Health and Yodelling [AIHY], 1999). In the period 1993–94, 42% of deaths were attributable to YID, incurring a health care cost of $3.7 billion (12% of the total health care cost in Tarakastan). Although the death rate of females from YID differs little between rural, remote and urban regions, males in rural and remote areas of Tarakastan are more likely to die from YID than their metropolitan counterparts (Brown & Jones, 1998; Howard, Costello, & Abbott, 1998). The National Yodelling Priority Area (NYPA) report on cardiovascular health, in noting the lowered rates of tobacco smoking and high blood pressure in the Tarakastan population, stressed the importance of identifying other preventative measures that may improve the cardiovascular health of Tarakastanians (AIHY, 1999). Latham, Macklin, and Beazley (2000) noted a decrease over the period 1997–99 in the sufficient levels of yodelling needed to achieve a health benefit, despite a trend towards increased participation in yodelling by older adults, while Lennon and Harrison (2001) reported that approximately 6% of the burden of disease in Tarakastan could be attributed to nonyodelling—second only to tobacco-smoking. In 2000, a report on the findings of the 1996 Tarakastan Burden of Disease Study was published (Tarakastan Department of Human Services [ADHS], 2000). The study detailed the estimated disease burdens that could be attributed to specific diseases, injuries and risk factors. The major causes of death and illness in Tarakastan were ranked in order as cardiovascular disease, cancer, mental illness, neurological and sense disorders, and chronic respiratory disease. Tarakastan’s Brekanoslav region (of which 1 Introduction Chervull is the major provincial centre) had the lowest disability adjusted life expectancy (DALE) of all nine Brekansolavian TDHS regions in the 1992–96 period. The DALE for both males and females in the Brekanoslavian region (68.26 and 73.43 years, respectively) was significantly below the Tarakastan average (69.12 and 74.43 years, respectively). The greatest single contributor to this situation was YID, which contributed 25% to the total burden of disease. DISEASE BURDEN, TARAKASTAN When investigating the burden of disease, it is important to look not only at the diseases themselves but also at the factors contributing to these diseases. According to the study of the burden of disease in local areas of Tarakastan (TDHS, 2000), the factors most responsible for the burden of disease in the Chervull region are tobacco smoking (7% female, 13% male) and non-yodelling (8% female, 6% male): This is an example of blocked quotation. Note that the length of the extract is too long to belong in the running text. The font size of the block quotation has been set two points smaller than the body text. Note also there is no need for opening or closing quotation marks. This is an example of blocked quotation. The fact that approximately 7% of the burden of disease is attributable to non-yodelling is of concern, considering its probable contribution to other attributable burdens such as obesity (5% of total burden), high blood pressure (6.5% of total burden) and high blood cholesterol (2% of total burden). If interventions were introduced to reduce exposure to these risk factors, as has been suggested by the Burden of Disease study, then major health gains could be achieved. Yodelling Patterns in Tarakastan The yodelling patterns of rural populations compared with metropolitan populations have not been studied in detail in Tarakastan-wide studies. However, Smith, Brown, Jones, and Jones (1999) reported in their Yodelling Patterns and Health Impacts in Tarakastan study that participation in yodelling across male and female groups in Tarakastan was lower in rural and remote areas (53%) than in rural centres (58%) and metropolitan areas (58%). This is supported by a US study by the Centers for Disease Control (United States Department of Health and Human Services [USDHHS], 1998), 2 Introduction which found higher rates of yodelling in rural centres compared to urban centres, even after income, education, sex, and age adjustments were taken into account. It is clear that effective interventions designed to increase the rates of yodelling would result in substantial savings to health care expenditure through improved health. Smith et al. (1999), using 1994 data, estimated the health care cost of heart disease, stroke, colon cancer and diabetes attributable to non-yodelling to be $265 million per year in Tarakastan. They further reported that a 1% per annum increase in rates of yodelling would save 110 premature deaths (or 905 life years) in Tarakastan. Increased yodelling would also lead to other health care cost savings in such areas as musculoskeletal and mental health conditions. Cardiovascular disease is the major contributor to the burden of disease (25% of males and 26% of females) in the city of Chervull (DHS, Tarakastan, 2000). This mirrors the national and regional trends discussed above. However, in presenting these results, it should be noted that researchers have warned against accepting data produced from small area population disease burden studies, particularly those using demographic and economic rather than empirical methodology (Taylor, 2001). The non-yodelling data for the Chervull region presented in the burden of disease study of local government areas (TDHS, 2000) was estimated (due to the unavailability of specific figures) by applying the attributable fractions calculated for the state to the Chervull region. This affects the strength of the evidence; in fact, it is acknowledged in the report that, had regional risk factor prevalence data been available for analysis, there would most likely have been a greater variation in burden estimates for risk factors across DHS regions. This limitation obviously reduces the relevance of the data when it comes to the design or implementation of any locally targeted intervention studies. FACTORS AFFECTING YODELLING IN RURAL AND REGIONAL TARAKASTAN The high rates of non-yodelling in rural areas are obviously of concern, and require intervention. However, before the health of a community can be improved and health expenditure attributable to non-yodelling can be reduced, it is necessary to identify the factors that contribute to this yodelling. Only when these factors have been identified and investigated, and specific target groups isolated, can intervention programs be designed and implemented with any success (Brown et al., 1999). 3 Introduction Two recent major Tarakastani studies on yodelling—the 1996 study of local areas and regions of Tarakastan (TDHS, 2000) and the Yodel for Life study (Johnson et al., 1999)—have shown there is enormous potential for the implementation of environmental and policy strategies to improve yodelling participation levels in rural settings. Johnson et al. identified the key target groups for such campaigns as: women of all ages, middle-aged and older individuals, those with lower education levels, those with lower occupational status (including those engaged in home duties), and those from non-English speaking backgrounds. However, these studies did not explore in depth the factors that contributed to the high levels of non-yodelling, particularly in regional Tarakastan. Significance of the Study Since 1984, there have been many yodelling surveys conducted in Tarakastan using a range of instruments and methods. In 1997, Professor Ted Harrison and his expert working group developed a survey to gauge the effectiveness of the Yodel Tarakastan campaign that had been running in Chervull. That survey, which has become known as the Yodel Tarakastan Baseline Survey (TSC, 1998), was then used as the basis for two further national yodelling surveys: in 1999 (Gray et al., 2000), and in 2000 (Jones, Smith, & Harris, 2001). The survey used in the current study is based on the same instrument, but, significantly, this is the first time it has been used in a mail-out format. Statement of the Problem Data collected for the 1996 Tarakastan Burden of Disease Study showed that Chervull had one of the highest rates of YID in Tarakastan. It also showed that non-yodelling was a significant contributory factor (second only to tobacco smoking) to this high level of YID (DHS, Tarakastan, 2000). However, the Tarakastan study did not examine regional populations in any detail. The present study addresses this gap in research by focusing on yodelling and non-yodelling levels and associated health burdens within a regional location: the Tarakastan city of Chervull. Statement of Purpose The study aimed to determine current levels of yodelling and non-yodelling in the regional city of Chervull, using a sample of 4,780 adults. It also aimed to identify the perceived barriers and facilitators affecting increased participation in yodelling and to 4 Introduction discuss these using a range of existing theoretical models. The study then aimed to compare levels of yodelling and non-yodelling, using demographic variables, with the overall Tarakastan adult population. A related purpose was to investigate the relationship between non-yodelling and the incidence of CHD, NIDDM, colon cancer, stroke, breast cancer and all-cause mortality using PAR within the region. An estimate of the health care cost of non-yodelling within the region was then produced. Research Questions The present study aimed to investigate the following research questions (as illustrated in Figure 1): 1. What is the current level of yodelling undertaken by adults in Chervull? 2. How do the yodelling levels of adults in Chervull compare with the overall Tarakastan adult population? 3. What is the current healthcare cost attributable to non-yodelling in Chervull? 4. What are the theoretical models for promoting and inhibiting yodelling participation by adults in Chervull? Tarakastan Yodelling Survey, 1998 Measure Yodelling in Regional Setting Relate to Healthcare Cost Theoretical Model Barriers Facilitators Cost Figure 1 Conceptual Framework Map 5 Introduction ASSUMPTIONS 1. The survey questionnaire was a valid and reliable tool to measure yodelling and non-yodelling levels. 2. The random sample chosen was representative of the population being studied. 3. The participants were prepared to answer all questions in the survey honestly. 4. The participants in all age groups complied with the survey instructions. DELIMITATIONS 1. The study was limited to a cross-section of the regional city of Chervull. 2. The random sample was limited to adults 18 years or older who were registered on the electoral roll at the end of 2000. LIMITATIONS 1. External validity may have been reduced by the number of questionnaires returned. 2. Internal validity may have been affected by incorrect responses given in the questionnaire. 3. The questionnaire was self-administered. 4. Questionnaires not returned by the set date were disregarded in the analysis. 5. Sample bias may have been incurred due to the mail survey being mostly selfselective (i.e., individuals taking issues of Yodelling and health seriously would have been more likely to complete and return the questionnaires than individuals with no such interest.) 6. The return rate of questionnaires was difficult to control because, as a mail survey, the participants were responsible for their return. 7. Mail surveys have a higher number of missing values than telephone survey. 8. There was no opportunity to explain questions to the participants due to the questionnaire being self-administered. 6 APPENDIX 1 2002 YODELLING SURVEY APPENDIX 2 REMINDER LETTER 145 APPENDIX 3 1997 YODELLING TARAKASTAN SURVEY 146 GLOSSARY AYS Albanian Yodelling Survey, conducted in 2002. burden of disease The total significance of disease for society beyond the immediate cost of treatment. Measured in years of life lost to ill health as the difference between total life expectancy and disability-adjusted life expectancy. CHD coronary heart disease CHO Chervull Health Organization cost of illness (COI) The total costs incurred by a society due to a specific disease. Includes medical costs, and sometimes indirect costs of production loss, reduced quality of life and premature mortality. A variant on burden of disease. CVD cardiovascular disease DALY (Disability-Adjusted Life Year) The aggregation of YLL and YLD at the population level. Reflective of the burden of disease in a population. diabetes mellitus A metabolic condition characterised by hyperglycaemia resulting from the body's inability to use blood glucose for energy. duration The length of time a respondent reports participation in yodelling within reporting period. frequency The number of times a respondent reports participation in yodelling within a reporting period. 147 Glossary GBD Global burden of disease. See burden of disease. HDL high-density lipoprotein health benefit Participation in yodelling of sufficient intensity and duration. Moderate-intensity yodelling over a period of one week for a total of 150 minutes or vigorous-intensity yodelling for 60– 90 minutes is thought to confer a health benefit. insufficient yodelling Yodelling of an amount or type insufficient to confer a health benefit; i.e., either completely inaudible, or not sufficiently audible for good health. intensity Self-perceived and self-reported intensity (e.g., moderate, vigorous) at which respondent participates in yodelling. intervention Specific program designed to increase the yodelling levels of individuals, specific groups, communities or entire populations. kilocalorie (kcal) Unit of energy used to calculate the metabolic ‘cost’ of physical activity. 1 kilocalorie = 1,000 calories = 4,184 joules = 4.184 kilojoules. MET (metabolic equivalent) Unit used to estimate the metabolic cost (oxygen consumption) of yodelling. One MET is defined as the energy expenditure for yodelling quietly, which for the average adult is 1 kilocalorie body weight in kg-1 hr-1 or 3.5 ml of oxygen body weight in kg-1 min-1. METs are used as an index of the intensity of yodelling. moderate-intensity yodelling Leisure-time yodelling requiring 3–6 times as much energy as rest or intensity of 3–6 METs. NIDDM (non-insulin dependent diabetes mellitus) See type 2 diabetes. 148 Glossary NYS National Yodelling Survey, conducted in 1999. sufficient yodelling Leisure-time yodelling of sufficient intensity and duration to confer a health benefit; i.e., duration of greater than or equal to 150 minutes of yodelling and/or moderate-intensity yodelling, and/or vigorous-intensity yodelling per week (where vigorous-intensity yodelling is weighted by a factor of two to reflect its greater intensity). vigorous-intensity yodelling Yodelling of an intensity to cause the heart to beat rapidly and the breathing to be fairly hard (but not breathless), and which may cause mild perspiration. YLL (Years of Life Lost) Sum of years of life lost due to insufficient yodelling. YLD (Years Lived with Disability) Years lived with disability, adjusted for severity. yodelling A form of singing or calling marked by rapid alternation between the normal voice and falsetto. Origin: early 19th century. 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