4. Research information

Postgraduate research covers:

• research master’s degrees
• doctorates by research and advanced coursework
• the Doctor of Philosophy.

Students enrolled in research programs which also include coursework should refer to the section on Coursework Information (Chapter 3).

Research programs

Research master's degree

Master’s degrees typically have a minimum period of full-time candidature of one or two years and longer maximum periods as well as longer periods for part-time candidature.

A research master’s, such as the Master of Philosophy (MPhil), may require the completion of some coursework as established by the faculty or school in which you are studying. It is important for any candidate for a research master’s degree to liaise directly with the faculty regarding any coursework requirements and governing policies regarding their research master’s degree, since these degrees are administered by individual faculties and are not University-wide degrees (unlike the PhD).

Doctorates by research and advanced coursework

Some faculties offer doctoral degrees combining research and advanced coursework. These degrees, such as the Doctor of Arts, Doctor of Education, Doctor of Engineering, Doctor of Health Science, Doctor of Juridical Studies, Doctor of Public Health, and Doctor of Social Sciences, comprise at least two-thirds research and one-third coursework and usually have a minimum duration of three years.

If a candidate enrols in a Doctorate by research and advanced coursework they should liaise with the faculty regarding all coursework requirements and governing policies regarding these degrees.

Doctor of Philosophy (PhD)

The Doctor of Philosophy (PhD) degree is offered in all faculties and colleges of the University. It is a research degree with a minimum period of full-time candidature of six semesters for the candidate, commencing with an honours bachelor’s degree or equivalent. In some circumstances candidates will be permitted to submit after four semesters. See Appendix 4, the University of Sydney (Doctor of Philosophy (PhD) Rule 2004, Part 5, 13.

Admission requirements

The admission requirements for each of the various research master’s degrees and doctorates by research can be found in the Calendar or the appropriate faculty handbook.

The Resolutions of Senate, located in the Calendar, set out the admission requirements for the Doctor of Philosophy degree.

General requirements are outlined in this section.

Research master's degrees

A research-only master’s degree usually has a minimum entry requirement of a bachelor’s degree with first or upper second class honours or equivalent in an appropriate subject area.

However, prerequisites are required for all degrees. Students must have undertaken appropriate courses at the undergraduate level, and must demonstrate appropriate standards of performance. Factors that may be taken into account to demonstrate this include:

• performance in the first degree
• professional or other experience gained during or subsequent to the first degree
• high level pass in an external examination such as the Graduate Australian Medical School Admissions Test (GAMSAT).

For admission to some master’s degrees a bachelor’s degree may not be essential. Evidence of general or professional qualifications and experience may be sufficient to satisfy the faculty concerned that the applicant possesses the academic preparation and capacity to complete the course in question. In any individual case the faculty concerned can prescribe additional work to be completed before or subsequent to admission.

Doctor of Philosophy (PhD)

The minimum admission requirement for the Doctor of Philosophy (PhD) is the possession of a master’s degree or a bachelor’s degree with first or upper second class honours. Alternatively, an applicant may be admitted having passed a qualifying examination at a standard equivalent to the bachelor’s degree with first or upper second class honours.

This qualifying examination could be completion of a period of relevant full-time or part-time advanced study and research towards a master’s degree at the University of Sydney, at such a standard as would demonstrate to the satisfaction of the faculty that the candidate is suitably prepared in the particular field of study to undertake candidature for a PhD.

In addition to these academic requirements, the head of department/school must certify to the faculty that your proposed course of advanced study and research is appropriate and acceptable; that you have in addition to the academic qualifications the necessary training and ability to pursue the proposed course of study and research; and that there are sufficient supervisory and other resources and facilities available to enable your candidature to be completed successfully. (See the section below on application procedures.)

Faculties are particularly concerned to ensure before admission to PhD candidature that there is the likelihood of a successful outcome. The Academic Board has agreed that a probationary period of up to 12 months for a PhD should be seen as usual practice. (The faculty may vary this requirement in special circumstances.)

This probationary period may be satisfied by prior enrolment in and/or completion of a master’s degree by research. Some departments and faculties require all potential PhD candidates to enrol in an appropriate master’s degree first with transfer to PhD candidature only after completion of that degree or after at least one semester’s satisfactory progress.

Graduates of other institutions

The admission requirements for postgraduate research degrees in the Senate regulations are usually expressed in terms of an applicant holding a qualification from the University of Sydney. The dean of a faculty may also admit to candidature applicants with qualifications deemed equivalent to those expected of University of Sydney graduates.

Eligibility for admission to a particular research degree is not simply determined by the applicant’s qualification. A suitable project and supervision must be available. The dean of the faculty must also be satisfied that the applicant is suitably prepared in the particular field of study in which the applicant proposes to be a candidate and has a standing equivalent to that required of a graduate of the University of Sydney qualified for admission to candidature for the degree.

This means that where, for example, a first or second class honours degree is required of a University of Sydney graduate, a similar level of achievement is expected of graduates from other institutions. This may be measured by other means where appropriate such as a Grade Point Average (GPA) or other form of grading. For international students, the International Office can advise about such equivalences.

Experience or further training undertaken subsequent to a first degree may be included in any assessment of eligibility for admission.

English language requirements

All applicants applying for admission to a research degree must meet approved minimum English language requirements. These requirements can be met in several ways: through demonstrating a record of satisfactory achievement in tertiary studies in which the language of the institution was English and the language of instruction, examination and assessment was English; through successful completion of the course 'English for Academic Purposes' at the University’s Centre for English Teaching; or through achievement of a satisfactory standard in an internationally recognised English language test such as the International English Language Testing System (IELTS), the Test of English as a First Language (TOEFL) or the Combine Universities Language Test (CULT).

While the University has set minimum standards of English expression for postgraduate candidates, many courses have more stringent requirements so it is essential to confirm the English language requirements of your intended degree with the relevant faculty before application.

Should a candidate satisfy the minimum English language requirements and gain admission to a degree program, an assessment of the written English expression of the candidate, appropriate to the field of study, forms part of the probationary review process for research candidature. This is to ensure identification of problems and instigation of remedial actions for those who are likely to have difficulty with English expression in the writing of a thesis.

The University policy on English language requirements is available at www.usyd.edu.au/ab/policies/PG_Eng_Lang_reqs.pdf.

Application procedures

A simple but essential requirement for admission to any postgraduate research degree is that an application form is completed and lodged with the relevant faculty office (or, in the case of international students, at the International Office) in good time.

Local candidates

Unless there is a specific deadline stated for a particular course, a local applicant (that is, an Australian citizen or permanent resident) must apply for candidature by no later 31 October in the previous year for commencement in Semester 1 (March), and by 31 May for commencement in Semester 2 (July). It is essential that applicants check the closing date for the course they intend to study because many courses have earlier closing dates, especially where there is a quota for admission.

If the results of your first degree will not be known by the closing date this should not deter you from submitting an application; just ensure that you forward your results when they are known.

Once your application is received, you will be sent a formal written response by the appropriate faculty office. An offer of admission will usually set out the details of your candidature, including the latest date by which you need to enrol and the latest submission date for your thesis, as well as confirming the details of your department/school and supervisory team.

Please ensure you check your letter of offer carefully. If you have any questions about the terms of the offer, check with the faculty office and your intended department/school as appropriate.

If for any reason you are unable to take up an offer of admission please let both the department/school and the faculty office know. It may be possible for the University to offer your place to another applicant. Please note that unsuccessful applications and applications, where an offer has been declined, are not retained indefinitely and a full, fresh application should be made if you reapply in a later year.

International students

An international student must apply for research candidature by no later 31 October in the previous year for commencement in Semester 1 (March), and by 30 April for commencement in Semester 2 (July). While late applications for candidature are accepted, they may not be processed in time for commencement in the next semester.

It is important to note that these closing dates are for admission to candidature only. A variety of scholarships for postgraduate study are available and each has a different closing date, often much earlier than application for candidature. See
www.usyd.edu.au/fstudent/international/postgrad/costs/scholarships for more information.

An international student research application form with detailed instructions on how to apply can be downloaded from the International Office website: www.usyd.edu.au/fstudent/postgrad.

Enrolment processes

General information

Detailed information about the particular enrolment dates and times and about the level of fees for which you will be liable will be provided either in your letter of offer of admission or subsequently. This section seeks to explain some of the procedures involved.

Enrolment and re-enrolment

You must be enrolled in each semester in order to remain a candidate for the degree you are undertaking. In October you will receive advice about re-enrolment for the following academic year. Re-enrolment is activated by pre-enrolling, a web-based activity, and the advice you receive in October will guide you through this process.

If your pre-enrolment is successful, you will receive confirmation of your enrolment in late January. Please check this confirmation carefully to ensure the information provided is accurate (including dates of completion). Note that there may be further action you need to undertake to complete your enrolment (such as collecting a student card).

If your pre-enrolment is not successful, your faculty will contact you advising on the procedure to complete enrolment. Note that there is a second enrolment period at the beginning of Semester 2 at which enrolment details for Semester 2 are finalised.

If you have been absent from the University on an approved suspension of candidature you must re-enrol during the enrolment period immediately following the expiration of your suspension. Information about the procedures for re-enrolment after a suspension should be provided by your faculty when the suspension of candidature is approved.

Research Training Scheme

The Research Training Scheme (RTS), administered by the Department of Education, Employment and Workplace Relations (DEEWR), provides course fee exemptions for Commonwealth-funded higher degree by research (HDR) students for the duration of an accredited HDR course, up to a maximum of four years full-time equivalent study for a doctorate by research (including a professional doctorate which meets the research program criteria), and two years’ full-time equivalent study for a master's by research. RTS students may be enrolled full-time or part-time.

All students who were enrolled prior to September 2000 (or were on a period of approved suspension at that time) are able to complete their studies under the funding arrangements that applied at the time. The RTS therefore supports:

• HDR students who commenced after September 2000
• Continuing Research HECS-exempt HDR students who enrolled prior to September 2000
• Any continuing HECS-liable HDR students enrolled prior to September 2000.

It is expected that students registered for HDR complete within their maximum entitlement, and the RTS Guidelines stipulate that research students who are granted an extension beyond their maximum entitlement can no longer be funded by the Commonwealth.

When any HDR student (including pre-2001 students) withdraws from studies, the following applies if, at a later date, the student resumes study in the same course or another course at the same level:

• If three years have elapsed since previous enrolment, the student may be granted the maximum period allowed for the course under the RTS.
• If less than three years have elapsed since the previous enrolment, the student will have the period of any prior enrolment deducted from the maximum period allowed for the course under the RTS. This restriction applies even if the students enrol at a different institution.

RTS students may have a period of suspension (or accumulated periods) of up to 12 months within the terms of RTS (beyond which approval is at the discretion of the University). Note that periods of suspension do not count towards expenditure of RTS entitlement.

Where a student completes a research master's and progresses to a doctorate, the entitlement is two years’ maximum for the masters and four years’ maximum for the doctorate study. This applies whether or not there is an interval between the two programs. (If the research masters is completed in less than two years, the maximum RTS entitlement for a doctorate remains set at four years.)

Where a student commences but does not complete a research masters and then successfully upgrades to a research doctorate, the RTS funding entitlement is limited to a maximum of four years. Similarly, if a student is required (for any reason, academic or personal) to downgrade from doctorate to master's, and has already held an RTS place for more than two years at that point in time, no further Commonwealth funding is available.

RTS students may transfer to another institution, provided there is an RTS place available. The assumption is that a transferring student’s research would either be continued or modified to meet the requirements of the new institution: the student’s enrolment details and remaining RTS entitlement are part of the transfer.

Scholarships and loans

A variety of scholarships are offered by the University of Sydney, with many faculties also offering their own scholarships. Information on University scholarships such as the Australian Postgraduate Award (APA) and University Postgraduate Award (UPA) should be obtained from the Research Office (see Chapter 2 under 'Administration' for contact details) or from the website:
www.usyd.edu.au/fstudent/postgrad/research-scholarships.

There are also a range of industry scholarships for projects in specific areas or disciplines, details of which are available from the Research Office or via your intended department or supervisor. Inquiries about faculty scholarships should be referred to the relevant faculty office (see Chapter 2 under 'Administration' for contact details).

The Scholarships and Prizes Office (see below for contact details) may also be able to provide information on postgraduate scholarships offered by external organisations.

Scholarships and Prizes Office
Room 140, Ground Floor, Mackie Building, K01
Phone: +61 2 9351 2717 or 1300 362 006
Fax: +61 2 9036 7879
Email:
Website: www.usyd.edu.au/scholarships/about

Students can also apply for student loans (up to $1500, interest-free, for essential living and study expenses) and emergency cash loans (up to $500) from the Financial Assistance Office (see Chapter 2 under 'Administration' for contact details).

Note that application for a scholarship is a separate process which should be accompanied by a concurrent application for admission to candidature for the degree in question.

International students who have applied for admission for a postgraduate research degree can apply for a variety of research scholarships, including the Endeavour International Postgraduate Research Scholarship (EIPRS) and the University of Sydney International Scholarship (USydIS).

Further information about these awards and the application process is available from the International Office (see Chapter 2 under 'Administration') or from the website:
www.usyd.edu.au/fstudent/international/postgrad/costs/scholarships

Candidature

Types of candidature

The University is not solely an examining body. Candidates for its courses are expected to carry out all phases of the work for the research degree under the control of the University and at places determined by the University. It is not necessary, however, that all of the candidature should be spent on a University campus. The code of practice in the appendices details a student’s responsibilities.

For candidates commencing candidature in or after Semester 1 2001, the normal maximum length of full-time PhD candidature is eight semesters; for candidates who commenced prior to Semester 1 2001, the maximum length of full-time candidature is ten semesters. The maximum length of full-time candidature for research master’s degrees varies from faculty to faculty, but is generally four to six semesters.

Full-time candidates for research degrees do not keep to the normal semesters but work continuously throughout the year except for a period of four weeks’ annual recreation leave. There is no strict definition of what constitutes full-time candidature but, generally speaking, if you have employment or other commitments that would prevent you from devoting at least the equivalent of a 35-hour working week to your candidature (including such attendance at the University for lectures, seminars, practical work and consultation with your supervisor as may be required) you should enrol as a part-time candidate.

If in doubt, consult your faculty or supervisor. A general guideline for the amount of time to be devoted to full-time candidature may be established by the terms of the award of an Australian Postgraduate Award (APA), which permits up to 20 hours of employment per week.

The University considers that what is required of a research degree, with respect to attendance, is that the best possible supervision arrangements are made for each particular candidature at each of the various stages of that candidature. This emphasis on individual requirements requires a clear statement of expectations and obligations at the commencement of each research program and on an annual basis thereafter.

International students who are in Australia on an international student visa are normally required under the terms of their entry visa to undertake full-time candidature only.

Research students and employment

It is possible for a person who is in employment to be admitted as a full-time candidate. This requires an employer certifying that the candidate can devote himself or herself full-time for the duration of the candidature to study and research under the control of the University. The employer must inform the University in the event of the candidate being required to undertake any duties which will interfere with their candidature.

Full-time research candidates are permitted to undertake part-time teaching duties providing these duties do not interfere with their candidature. Students are not obliged to teach, and also have no right to expect to be given teaching duties.

Fractional appointments of up to 0.6 are permitted. There may be occasions when a student is asked to perform duties on a full-time basis in which case suspension of the candidature should be sought. If you are receiving a scholarship, you must observe any terms and conditions regarding employment hours (see the section 'Scholarship holders', below).

Changing your enrolment

As a research candidate, if you wish to change your enrolment in any way, you should contact your faculty. This includes suspending your candidature (usually granted in one-semester blocks), taking a leave of absence (for less than one semester), counting time away or transferring from full-time to part-time candidature (or vice-versa).

Please note that as research candidature is generally administered in semester-long blocks, in order for the change to take effect in a given semester most variations to enrolment will need to be received by the appropriate faculty office at least one week before the census date for that semester.

It is important that you lodge your request to vary candidature via the official paperwork available from your faculty office, and that the application be completed by all necessary parties before it is lodged. Requests to vary candidature will normally require the endorsement of both your supervisor and postgraduate coordinator or equivalent as a minimum, and you may need to provide additional details to support your request.

Suspension of Candidature and Leave of Absence

As your candidature is recorded in whole semesters, if your circumstances change and you are not able to study for a period it is advisable to apply for either a Leave of Absence or Suspension of Candidature.

For shorter periods (that is, less than one semester) you should apply for a Leave of Absence. This might be used to cover a period of illness or cause of substantial delay to your program of study, but will not be necessary for a brief illness or misadventure. A Leave of Absence does not change your dates of completion, but will be recorded on your record to explain any difficulties with progression or to provide background information for a later extension of candidature.

If circumstances cause you to be unable to study for a longer period of time (more than a few weeks), it may be advisable to seek a Suspension of Candidature. These are usually granted in one-semester blocks, and degree resolutions allow for up to two semesters of suspension during candidature. A suspension will mean that you will be regarded as not enrolled for the period of suspension, and will cause your dates of submission to be made later than they were before the suspension.

Research off-campus – 'Counting Time Away'

There is provision for PhD candidates to complete their candidature away from the University. There may be circumstances where it would be desirable to work at another institution within Australia or overseas where there is access to particular research or facilities. This may include conducting fieldwork, data collection or other research away from the campus.

If you wish to work off-campus, with the support of your supervisor you should apply to the faculty office to count time away. The faculty will wish to know what arrangements are being made for your continued supervision while away from campus. Short visits of a few weeks to other institutions may be approved by your head of department/school if supported by your supervisor.

Note that the equivalent of at least two semesters of candidature for a PhD must be completed within the University, and one semester for a masters by research, in order for the degree to be conferred. This time need not be consecutive, nor does in necessarily need to be at the end of candidature. Section 4 of the University of Sydney (Doctor of Philosophy (PhD)) Rule 2004, to be found as Appendix 4 in this handbook, indicates what is expected of candidates in respect to attendance.

'Complete Away'

If you will not be on campus during the final stages of preparing your thesis for submission, you will need to apply for permission to Complete Away. Keep in mind that you will need to have spent the equivalent of at least two semesters of your candidature at the University to be awarded the degree.

Converting between full-time and part-time candidature

It is usually possible for a full-time candidate to convert to part-time candidature (and vice versa). Any such application should be made through the faculty office. The maximum length of part-time PhD candidature is eight years, as opposed to four years for full-time candidature.

Note that this length assumes the student has been enrolled part-time since commencement. When calculating the revised Latest Date of Submission for a candidate who is given permission to convert from full-time to part-time candidature, a pro rata method is used.

For example, if a candidate is permitted to convert to part-time candidature at the end of the third year of full-time candidature (having completed 3/4 of the maximum candidature), the maximum period of part-time candidature will be 1/4 of eight years, which is two years.

Note that transfer between full- and part-time candidature can only be granted for semester-long blocks; it is not possible to change your status for only part of a semester, nor to vary your status after the census date for that semester.

Part-time candidature for research students

For part-time candidates the faculty or college has to be satisfied that:

1. the applicant will have sufficient appropriate time to complete the requirements within the maximum period
2. the research will be planned and carried out by the applicant under the control of the University and that supervision arrangements are satisfactory, and
3. the candidate will be able to attend at the University as required.

An applicant should submit a detailed proposal including how the research will be carried out on a part-time basis, its relationship to her/his employment (if any) and arrangements for attendance at the University. The candidate may also need to provide a statement from an employer (if any) indicating that the candidate will have sufficient time to devote to candidature.

Requirements may vary between departments/schools and faculties. Keep in mind the University is not willing to act solely as an examining body and any research must be under the direction and supervision of the University.

Scholarship holders

There are other restrictions which apply to candidates on scholarships. Candidates on Australian Postgraduate Awards (APAs) and similar scholarships may engage in paid employment up to a maximum of 20 hours per week, evening, weekend and holiday work included; or no more than 50 per cent of a (35 hour per week) full-time position. No candidate holding an award may hold another position within the University which could cause him or her to exceed this restriction.

Some units may offer a supplementary scholarship in conjunction with offers of casual teaching or demonstrating. Departments/schools shall indicate a minimum number of hours that will be offered, up to a maximum number of contact hours that is not more than ten times the number of teaching weeks in the year.

The scholarship holder is encouraged to take up the offer of part-time teaching within the department/school but is not obliged to do so. Teaching duties may be carried out throughout the calendar year except that scholarship holders shall have a block of at least six weeks clear of teaching duties for research in addition to recreation leave.

Research programs: facilities and supervision

Each department/school should be able to provide an applicant or candidate with a statement of the facilities available in that unit and the procedures for accessing them. Facilities include laboratory space, photocopying, stationery and computing facilities, equipment, conference travel and maintenance.

Information should also be available about departmental/school research seminar programs and postgraduate consultative procedures. Facilities available will vary widely from unit to unit.

Under the Postgraduate Research Support Scheme (PRSS), funds will be made available each year to enable postgraduate research students to present papers at conferences, use specialist facilities and purchase specialist books that are essential to the student's research. PRSS funds must be applied for and are awarded on a competitive basis; receipt of funding is therefore not guaranteed.

General information about the PRSS is available from the website www.usyd.edu.au/ro/training/prss.

More specific information, application forms and closing dates are available from the relevant faculty office.

Research supervision

When you apply to undertake a research master’s degree or a PhD, the head of department/school has to be sure you are appropriately qualified for the course of study and research you propose and must certify that there are resources and facilities within the unit to enable your candidature to be completed successfully. An important part of those necessary resources is the availability of a suitably qualified supervisor.

The supervisor

The supervisor is that member of the academic or, as appropriate, senior research staff, appointed to take primary responsibility for the conduct of the candidature. The supervisor must be available at all stages of the candidature for advice, assistance and direction and is responsible for the progress of the candidature to the head of department/school and the faculty or college. At least one associate supervisor will also be appointed (see 'associate supervisor' below).

A principle followed in the appointment of supervisors is that the candidate should, under normal circumstances, be able to expect continuity of supervision. This means not only that some form of supervision will be available at all times throughout the candidature, but that a staff member nearing retirement, for example, will not normally be appointed as supervisor unless prepared to undertake in writing to continue the supervision beyond their retirement.

The supervisor should also ensure that an acting supervisor is appointed during her or his absence from the University for any period of a month or more, and should assist the acting supervisor by informing them about the progress of the candidature.

The role and duties of the supervisor

A postgraduate research degree is a training exercise in which the candidate acquires knowledge of research methods and experience in planning, performing and publishing research under the guidance of a supervisor. The success of that training is assessed through a thesis, which in the case of a PhD is expected to provide some evidence of originality and thereby make some significant contribution to knowledge, at least some of which is publishable.

A successful research master’s thesis will likewise demonstrate a grasp of training in research methodology but may make a less original contribution than a doctoral thesis.

The responsibility of a supervisor over the initial phase of candidature extends to: ensuring that facilities identified as necessary to the success of the project are provided; encouraging the candidate to extend his or her contacts within the department/school and elsewhere within the University (and outside as appropriate); ensuring that all parties in the research project are clear about their roles and responsibilities (including associate supervisors); and establishing an agreement regarding the frequency and nature of contact, especially between the candidate and supervisor.

While application procedures normally require the drafting of a research proposal, a critical early phase of any candidature is when the supervisor assists the candidate with drawing up a detailed research plan.

The supervisor must ensure the facilities are available within the department/school or the University to enable the project to succeed and should pay particular attention to the likely timescale of the project, bearing in mind that a three-year PhD candidature should be an objective.

The supervisor should ensure the candidate is aware of the standards expected of the degree concerned and identify with the candidate the particular research skills that will need to be acquired, if necessary providing clarification of how missing skills are to be obtained. This phase is also where the most appropriate data gathering and analysing techniques are established.

An important part of research training is the completion of a project within a particular timeframe. The supervisor and candidate should agree on the contact that will be necessary between them, particularly in the first year of a PhD candidature or first semester for master’s candidatures, acknowledging that these arrangements may need periodic review. This will include some agreed indicators of progress being made and will take note of known periods of leave for all participants.

The supervisor and the candidate should monitor progress made within the context of the overall research plan. The supervisor should ensure that sufficient time is left for writing up the thesis and that, if necessary, the scope of the project is reduced to meet the time available.

The supervisor has a responsibility to provide regular and constructive feedback to the candidate and should be aware of the need to make annual progress reports both to faculty and to any scholarship authority. Such reports require the candidate to sight and sign them. That should not be the first time at which either supervisor or candidate learns of some dissatisfaction with progress. The annual progress report can be downloaded from the following website:
www.usyd.edu.au/ab/committees/rrtc

As the candidature progresses different contact arrangements may be appropriate and will need to be negotiated, ensuring that both candidate and supervisor are clear on what each expects of the other.

It is recognised that the research experience of a candidate is unique and that arrangements will need to be flexible depending on the nature of the project, the personalities of the participants, and the stage of the research; what is essential is that all parties communicate their expectations and adhere to any agreements made. It is advisable that such agreements should be put into writing to avoid subsequent misunderstanding.

As well as supervising the research project, the supervisor may also need to provide advice about administrative matters, and so should be aware of where to find information about degree and other administrative requirements. The supervisor should ensure that necessary approvals are sought for student absences from the University or for any variations to candidature, and that the candidate receives any due entitlements within the department/school.

As need arises, and often at the commencement of candidature, the supervisor is responsible for advising each candidate of applicable government and institutional guidelines for the conduct of research, including those covering ethical requirements for studies on human or animal subjects, and the requirements for the use of potentially hazardous agents and equipment. Information about requirements are detailed in the University of Sydney Code of Conduct for Responsible Research Practice, set out at Appendix 2.

As far as possible, research supervisors should ensure that the work submitted by candidates is their own and that, where there are data, they are valid. Supervisors should ensure that candidates are aware of the requirements regarding the retention of data within the University.

Agreement should be reached also between the candidate and the supervisor concerning authorship of publications and acknowledgment of contributions during and after the candidature. There should be open and mutual recognition of the candidate’s and supervisor’s contribution on all published work arising from the project, and there are guidelines established by the University governing the submission of co-authored and published work as part of a thesis.

Before the candidate commences writing the thesis, a supervisor should be able to advise on style and layout as appropriate to the discipline, and provide prompt feedback on drafts submitted.

When the thesis is submitted the supervisor is required to certify that the thesis is acceptable for examination and that appropriate ethics clearances have been obtained. The form to be completed to confirm the suitability of the thesis for examination may be found at: www.usyd.edu.au/ab/committees/rrtc/phd_award/PhD_Forms/
Supervisors_Statement_Form.pdf.

This form must be completed by the supervisor then signed by the candidate and endorsed by both the postgraduate coordinator and where relevant the dean (or nominee) and should accompany the copies of your thesis when you lodge them for examination at your faculty office.

Difficulties of one sort or another may arise during the candidature, and supervisors should be aware of the problem-solving mechanisms and the support services which exist within the University for resolution of any issues with which they are unable to deal directly. The supervisor should also ensure that the postgraduate coordinator, head of department/school and the faculty or college are kept informed as necessary.

Associate supervisor

As well as a supervisor, the University also requires that at least one associate supervisor be appointed for every candidate. While the supervisor still bears overall responsibility for the candidature, the University recognises the value of there being available to the candidate someone other than the supervisor to whom the candidate can freely turn for advice.

The relationship between the supervisor and the associate supervisor may vary widely in relation to both the candidature and the project. The associate supervisor might have a largely custodial role, involved in the project and able to step in to act as supervisor should the primary supervisor be unable to act, but not otherwise actively participate in the day-to-day conduct of the research.

Alternately, the associate supervisor may provide key day-to-day contact with the candidate, for example in a laboratory situation away from the campus, or impart particular expertise or additional experience to the candidate. Associate supervisors can also be appointed from outside the University, so suitably-qualified research personnel in industry or government can assist in the conduct of a research project.

What is constant is that the supervisor bears the ultimate responsibility for the supervision of the candidate, and is the University’s immediate point of contact in all matters pertaining to the candidature. In exercising this responsibility, the supervisor will often be expected to have consulted the associate supervisor(s) but associate supervisors are generally not required to be formally involved in the reporting process.

The responsibilities of the candidate

A PhD or master’s degree is research training with an output in the form of a thesis which measures the success of that training. Your responsibilities are outlined in the codes of practice in the appendices, but are summarised below.

You as a candidate have a responsibility to make yourself aware both of the legislative requirements for the degree in which you are enrolled and the objectives of that degree. You should also make yourself aware of government and institutional guidelines for the conduct of research and ensure that through your supervisor the necessary approvals for studies on animal or human subjects (including the use of questionnaires) are obtained.

While this should be made explicit as part of your induction, it is also important to ensure that you fully understand any Occupational Health and Safety (OH&S) requirements in the handling of materials or equipment associated with your research project. Feel free to ask questions until you are comfortable with OH&S requirements.

Part of the research training you are receiving is to be able to plan and execute a project within defined time limits. A thesis should therefore be planned and carried out within a clear timeframe, under the supervision of the University.

Your degree is undertaken under supervision. The selection and appointment of your supervisor is a matter of great importance in your studies, and you should play an active part in that process. You also have a responsibility to establish with your supervisor agreed methods of working, especially the nature and frequency of contact, and then to fulfil your side of any agreement.

You must attend agreed consultations and provide evidence of the progress you are making throughout your candidature, including submission of the annual progress report form. You must also participate in such departmental/school activities as are expected, including completion of any coursework, and are expected to participate in research seminars when they are offered.

You are responsible for drawing your supervisor’s attention to difficulties you are having, either in your research or in anything that is affecting your progress. If you have problems with your supervisor you should be aware of the mechanisms that exist for resolution of problems and take advantage of them (refer to the section below on 'Satisfactory progress and resolution of problems').

Should you need to take time away from study via suspension of candidature or spend time away from the University as part of your candidature, you are responsible for obtaining departmental, school and/or faculty approvals as appropriate.

You are also responsible for ensuring:

• that all the administrative requirements of the University, such as re-enrolling each year, are met
• that you have sufficient time allocated to write up your thesis and that you have ascertained what is necessary in terms of content, style and presentation, and
• adequate notice is given to your supervisor of the expected submission date of your thesis to allow timely selection of examiners.

If you are given permission to complete your candidature on a part-time basis or spend time away from the University (conducting fieldwork, for example), your responsibility to maintain regular contact with your supervisor and to provide evidence of your progress increases rather than diminishes. Problems with candidatures occur all too often in such circumstances and faculty committees tend to have little sympathy with candidates who have not maintained regular contact.

Note that you are solely responsible for the content, style and presentation of the thesis finally presented for examination, although you are strongly advised to follow the advice of your supervisory team as to whether they regard your thesis as ready for submission. Your supervisor must provide a signed statement that the thesis is suitable for examination before lodgement can take place, but they can indicate on this form that they have advised otherwise if you are determined to submit against their advice.

Satisfactory progress and resolution of problems

Satisfactory progress

The degree requirements for most postgraduate research degrees contain the provision that the faculty or college may:

• on the recommendation of the head of department concerned, call upon any candidate to show cause why that candidature should not be terminated by reason of unsatisfactory progress towards completion of the research degree, and
• where, in the opinion of the faculty, the candidate does not show good cause, terminate the candidature.

Annual progress report: research students

For research students the annual progress report form and the annual review process are mechanisms whereby the faculty can be assured that satisfactory progress is being made. It should not be the first point at which a supervisor and candidate discover there is a problem, and identification of difficulties on the form will not in itself resolve them.

The annual progress report form is the place to put on record any difficulties which may or may not have been unavoidable, including periods of personal illness or misadventure.

The annual progress report form should also be an instrument for advising the faculty of the conditions of candidature to apply in the following year and whether the previous year’s supervisory arrangements proved satisfactory to ensure progress of candidature.

The annual reporting procedure requires that the candidate completes the first section of the form which includes a report on progress and provision of space for comment about any problems faced during the previous year of candidature. On completion, the review form is forwarded to the supervisor, who will then comment on the candidate’s progress and forward the form to the postgraduate coordinator, who will generally interview the candidate before making a recommendation to the faculty or college on the progress of the candidature.

The candidate is required to sign the report after it is endorsed by the postgraduate coordinator to indicate that the comments of both supervisor and postgraduate coordinator have been read. You do not have to agree with the comments made, and space is provided for you to comment on the comments should you wish to do so.

The report is then forwarded to the faculty or college office for final endorsement, where the candidature can be continued, conditions may be imposed in continued candidature for a specified time (such as a continuation of a probationary period, revision or progress after a further semester, completion of coursework or change of supervisory arrangements), or in some cases, terminated.

Departmental/school review

Departments/schools are required to have a formal process where the candidature of each postgraduate research student is reviewed at the end of the probationary period. The review’s purpose is to assist the candidate and relies on full and open communication. Departments and schools, candidates and supervisors are also encouraged to make use of such a review process at later stages of the candidature.

The review shall include an assessment of the research project, including the resources being made available, the candidate's progress and the supervisory arrangements. It shall include participation by a staff member who is not the supervisor or the head of department or school and should normally be expected to include the postgraduate coordinator. There will normally be a segment where the student has the opportunity to discuss in confidence his or her progress in the absence of the supervisor.

An outcome will be considered by the head of department/school, if not directly involved, and the faculty concerned. Where difficulties have been identified, the report will include an agreed course of action which may include discontinuation.

Note that while this probation review will often coincide with the Annual Progress review conducted at the end of each calendar year, it need not do so, and departments/schools may conduct the probation review as and when they see fit.

Resolution of problems

Problems arising between the candidate and supervisor can and do occur. In some cases, the development of the topic as the project progresses means that the original supervisor’s area of expertise is no longer relevant and an alternative supervisor may be sought by either the candidate or the existing supervisor without discredit to either party.

Likewise, associate supervisors sometimes find themselves carrying out the bulk of primary research supervision and wish this to be formally recognised by a change of supervisory arrangements. Such concerns are usually able to be dealt with amicably at the local level, and usually require the completion of a 'Change of Supervisor' form to be lodged with the faculty office.

Occasionally more serious obstacles to research progress develop, ranging from personality or professional clashes between the candidate and/or members of the supervisory team to more serious issues of academic or personal misconduct.

It is obviously desirable that these are addressed and settled as expeditiously as possible and preferably within the department/school. If a candidate and supervisor(s) cannot resolve their difficulties between themselves, either or both may approach the postgraduate coordinator, head of department/school or any other member of the permanent staff to assist with the resolution of the problem. The postgraduate coordinator and/or head should attempt to settle the dispute, but if this cannot be achieved within the unit the matter may be referred to the associate dean (postgraduate) or dean of the faculty or the equivalent within the college.

Advice may also be sought from the Student Advisers located at SUPRA. The Student Advisers provide professional and confidential advice or referral about any matters that may affect a student’s candidature, from academic matters, processes, problems and appeals to general welfare issues. The student may also contact the University Counselling Service.

International students should be aware of the specific counselling support available in the International Student Services Unit (ISSU) for international students and their supervisor. A good relationship between supervisor and candidate, in any circumstances, can be difficult to establish and maintain, and cultural differences can impose additional complexity.

For problems that cannot be resolved at the faculty or college level please refer to the section on Appeals (Chapter 6).

Time limits and extension of candidature

A minimum and maximum period of candidature is specified for each candidate for a postgraduate research degree. Note that there are pressures on students and on universities for students to complete as soon as possible. Fee exemption scholarships cease after a specified time for the full-time PhD student, and APAs are for three years (with a possible extension of six months) for PhD candidates.

For research degree students the minimum period is also expressed as the earliest date at which you can complete the requirements for a degree. Your target should be to complete within the minimum period if at all possible.

If you are not able to complete by the earliest date of submission, you do not need to apply for an extension, but will normally have an additional year of full-time candidature (or equivalent) to complete your thesis, expressed by the latest date of submission.

Should it appear during your last year of candidature that you will not be able to complete the requirements by the latest date, you should apply to the faculty or college board through your supervisor for an extension of candidature. Your application should explain why you do not expect to be able to meet the deadline and should refer to any difficulties that might have been experienced during the candidature. These should have been referred to in your annual progress reports. Your application should also contain a realistic estimate of the time you require to finish.

You cannot assume that an extension will be granted. An aspect of the research training being undertaken is to complete a project within a deadline, and your supervisory arrangement should enable any difficulties inherent in the nature of the project to be identified at an early stage of the candidature. Requests for extension must be made in advance and not retrospectively.

Withdrawal

If your circumstances are such that you are unable to anticipate when you will be able to resume your studies, you should seek to withdraw from your course by writing to the faculty office. If you withdraw from study and circumstances later permit you to resume, you will have to reapply for admission. On successful readmission, some credit might be given for the work that you had done up to the time of withdrawal but in effect you will be commencing a new candidature.

If in any year you fail to re-enrol as instructed (including timely return from an approved suspension of candidature) your candidature will be regarded as having lapsed and you will need to re-apply for admission to candidature to resume study.

Assessment and examination

This section covers the assessment and examination for research degrees as well as providing information about University policies. It is your responsibility to ensure you have an understanding of the University's policies in relation to responsible research, plagiarism, academic honesty and ethical behaviour. If you have any questions regarding these policies you should approach your faculty.

Code of Conduct for responsible research

The University of Sydney Code of Conduct for Responsible Research Practice and Guidelines on Dealing with Allegations of Research Misconduct is included as Appendix 2 to this handbook.

The guidelines include material on retention of data, publication and authorship, the role of research supervisors and disclosure of potential conflict of interest.

Academic honesty and plagiarism

The University has strict policies and guidelines on plagiarism, copying, recycling and other forms of academic dishonesty.

The Code of Conduct for Responsible Research Practice and Guidelines on Dealing with Allegations of Research Misconduct includes plagiarism (and misappropriation) under the definition of research misconduct, and explains the actions that will be taken if an allegation of misconduct is made. The policies can be found at Policy Online: www.usyd.edu.au/policy.

For specific information on plagiarism and academic honesty, see:

www.usyd.edu.au/senate/policies/Plagiarism.pdf
www.usyd.edu.au/ab/policies/Academic_Honesty_Cwk.pdf

Ethics approval

Projects that involve human and/or animal subjects need to be approved by the appropriate ethics committee. It is a supervisor’s responsibility to advise a candidate of the need to apply for ethical approval for research. Further information is available from:

www.usyd.edu.au/ethics/human
www.usyd.edu.au/ethics/animal

If your project involves animal subjects, there is a two-day workshop on animal ethics which you will be expected to attend at the beginning of your research degree. Your supervisor will advise you as to when it will be available.

Please note that scholarship payments cannot be made to students who have failed to obtain ethical clearance where their research requires ethical approval.

Research programs: assessment and examination

At the end of the degree program you will present a thesis for examination by experts in your field. In most cases, the award of the degree depends entirely on the thesis. The examiners know nothing about the candidate or the way that the research project proceeded other than what is contained in the thesis presented for examination.

It is important, therefore, that the thesis is self-contained and conveys clearly the description of the project, how it relates to the field as a whole, how the project was pursued, what techniques were used and how successful they were, and the outcomes of the research.

All this must be presented in an integrated, coherent form that displays the competence of the candidate and demonstrates that a substantial and original contribution to knowledge has been made.

The University has not laid down detailed requirements as to the layout of the thesis other than is set out below with respect to binding.

Expectations and conventions as to what should be in a thesis vary from discipline to discipline. Departments will often recommend particular style guides or may even have their own publication. Precedent in the form of copies of successful theses in a departmental or school library is another useful reference point although these may have been written when current word processing technology was not available. SUPRA also has advice on the content and means of production of theses in its publication The Thesis Guide, available from www.supra.usyd.edu.au/Pub/Thesis_Guide/TG-04.pdf.

Submission of thesis

A handy checklist of actions that you need to take before submitting your thesis for examination is available from SUPRA's website, at www.supra.usyd.edu.au/Adv/documents/PhD.pdf.

Please keep in mind that whilst the examination of your degree is governed by Academic Board policy and Senate resolutions, there are some discipline- and faculty-specific variations to processes and suggested timelines for action, so please ensure that you check with your faculty office in the lead up to submission of your thesis.

Presentation

The Academic Board has prescribed for the PhD the overall form of the thesis, the part published work can play and the availability of the thesis once examined. It requires a supervisor to declare that a thesis is sufficiently well prepared to be examined: that it is legible, clearly expressed and generally free from typographical and grammatical errors.

The statement also attests that appropriate ethics clearances have been obtained, and that the research and writing embodied in the thesis are those of the candidate except where due reference is made in the text.

There are no University guidelines as to the layout of the thesis. Typeface, font size, spacing, double-siding and the like are matters for which you should seek advice from your supervisor or postgraduate coordinator. Ensuring that the thesis is legible and easily able to be examined will facilitate the process. Note that the University will not proceed with the examination of a thesis not considered to be in a form suitable for examination.

The thesis requirements for the degree of Doctor of Philosophy can be met by a portfolio of musical compositions where the thesis includes prefatory analytical notes for each composition. In such a case the thesis shall be submitted as a bound volume of International A3 or A4 format.

Binding

The form of presentation of the thesis is prescribed for the PhD and many other master’s degrees in similar form. Normally, theses may be submitted in either temporary or permanent binding. Many examiners express a preference for theses that are temporarily bound as they are less bulky to examine and easier to mail back, but provided the basic requirements are met the choice of binding is an individual one. Consult your supervisor or Postgraduate Coordinator if you need guidance.

It is the policy of the University to expect that, where examiners have drawn attention to errors and typographical mistakes in a thesis, these should be corrected in all copies of the thesis that are to remain in the University (ie in the University Library and any faculty, departmental or school library).

In 2008 around 94.5 per cent of all PhD candidates were required to make some emendations or corrections, so do not assume your thesis will be passed without the need for changes to be made. Emendations do not have to involve re-keying and re-printing if a black ink/biro amendment is clear. Emendations can also be made by way of an appendix to the thesis.

Theses submitted in a temporary binding should be strong enough to withstand ordinary handling and postage. The preferred form of temporary binding is thermal or ‘perfect’ binding, which generally entails a soft cardboard cover into which pages are affixed by heat-fused glue. Note that ringback or spiral binding is not acceptable.

Theses submitted in a permanent form (see below for electronic submission) shall normally be on international standard A4 size paper sewn and bound in boards covered with bookcloth or buckram or other binding fabric.

The title of the thesis, the candidate’s initials and surname, the title of the degree, the year of submission and the name of the University of Sydney should appear in lettering on the front cover or on the title page. The lettering on the spine, reading from top to bottom, should conform as far as possible to the above except that the name of the University of Sydney may be omitted and the thesis title abbreviated. Supporting material should be bound in the back of the thesis as an appendix or in a separate set of covers.

Length of thesis

The following are word limits set by faculties for research degrees. Please note that these word limits do not include footnotes:

Faculties of Agriculture, Food and Natural Resources, Medicine, Pharmacy, and Veterinary Science: PhD: 80,000 – 100,000 words; MPhil: 50,000 words;

Faculty of Architecture, Design and Planning: PhD: 50,000 – 80,000; MPhil 30,000 – 60,000 words;

Faculty of Arts: PhD: 70,000 – 100,000 words; MPhil: 40,000 – 60,000 words;

Faculty of Dentistry: PhD and MPhil: 80,000 words;

Faculty of Economics and Business: PhD: 80,000 words; MPhil: up to 50,000 words;

Faculty of Education and Social Work: PhD: 80,000 words; Doctor of Education and Doctor of Social Work: 50,000 words; MPhil: 30,000 words;

Faculty of Engineering and IT: PhD: 80,000 – 100,000; Doctor of Engineering Practice: 60,000 – 80,000 words; MPhil/MEng (Research): 40,000 – 50,000 words;

Faculty of Health Sciences: PhD: 80,000 – 100,000 words; Doctor of Health Science: 60,000 words; MAppSc: up to 60,000 words;

Faculty of Law: PhD: 100,000 words; SJD: 75,000 words; master’s degrees by research: 50,000 words;

Faculty of Nursing and Midwifery: PhD: 80,000 – 100,000 words; MPhil: 60,000 words; Master of Nursing (Honours): 20,000 words;

Sydney College of the Arts: PhD: either by thesis only (80,000 words) or by thesis and creative work (50,000–80,000 words). A PhD by thesis and creative work reflects accepted research methods in the visual arts and is an exploration/enquiry through practical work accompanied by a related text. For the Master of Visual Arts, candidates are examined either by thesis only (length 35,000 – 50,000 words) or by Studio Practice and Research Paper (10,000 – 12,000 words) supported by a substantial exhibition, performance or installation of works in a joint show of candidates at the end of candidature;

For information on Sydney Conservatorium of Music thesis lengths, see the Sydney Conservatorium of Music Handbook (this can be found online at www.usyd.edu.au/handbooks).

Preface

In presenting your thesis you will be required to state in general terms in the preface, and more specifically in the notes, your sources, the animal and human ethical approvals obtained, the extent to which you have used the work of others and that portion of the thesis you claim to be your own original contribution.

Generally speaking, you will be permitted to incorporate in your thesis work which you may have submitted for another degree provided you identify it as such but, of course, you may not submit a thesis that has already been successfully presented for a degree at this University or elsewhere.

Inclusion of publications

The University of Sydney (Amendment Act) Rule 1999 (as amended) allows for a candidate to submit in support of candidature, any publication of which the candidate is the sole or joint author, along with evidence identifying the sections of the work for which the candidate is responsible.

The Academic Board has approved the policy Submission of Doctor of Philosophy (PhD) Theses Containing Published Work to guide this process. You should consult this policy and discuss any additional requirements with your faculty. The policy is available online at:
www.usyd.edu.au/ab/policies/PhD_Theses_Published_Wk.pdf.

If you do choose to include published work in the body of your thesis, you must ensure that the thesis is a consistent and unified whole, prepared specifically for the submission of examination for the degree. You need to critically place any published works used in the body of the thesis in the context of the appropriate field of study and in the context of the thesis as a whole. You may only include published work if the research and publication of the work occurred during the course of your candidature.

Number of copies

The number of copies of a thesis required varies according to the degree. For example the PhD requires four copies to be submitted, while the Doctor of Juridical Studies in the Faculty of Law and most master's degrees require three copies of the thesis.

You should check the appropriate Senate and faculty resolutions for any degree-specific requirements. The Senate resolutions for the PhD are available in the Calendar while faculty resolutions for other research degrees are available in the appropriate faculty handbook.

Summary

A summary of approximately 300 words must also be submitted with a PhD thesis.

Library copy

During the examination process it is important that one copy remain in the safekeeping of the Registrar while others are being examined. After the award of the degree one copy, corrected as necessary, printed on archival paper and bound in a final form, must be lodged with the Registrar for deposit in the University Library. Individual faculties may require an additional copy, also corrected and bound in a final form, to be lodged in a faculty or departmental/school library. Other copies of your thesis may be returned to you as they are received back, in due course, from examiners. Usually the faculty office will write or telephone to say that copies are available.

The requirement for the library copy to be printed on archival paper is because of the eventual disintegration of works printed on normal paper. The University Librarian has advised that any paper described as 'acid free' or 'archival' is of archival quality and acceptable for use in the copy deposited in the University Library. Most paper used for computer printing is 'acid free'. The University Copy Centre and SUPRA carry stocks of such paper, as do many commercial stationary stores.

Both SUPRA and the University Publishing Service (UPS) are equipped to copy theses economically, and UPS does temporary bindings for examination and case bindings for permanent lodgement. SUPRA also maintains a list of binders that is available on request. Call (02) 9351 3715 or email .

Public availability of thesis

It is University policy that a thesis which results from a program of advanced study and research should be lodged immediately in the University Library and/or departmental/school library after the degree has been awarded. There it becomes immediately available for consultation and, subject to your copyright rights, for photocopying and microfilming.

A program of advanced study and research should only be undertaken if these conditions can be fulfilled. The statutes relating to public availability of theses are prescribed in the University of Sydney (Amendment Act) Rule 1999 (as amended), which are set out in the Calendar.

There are two types of circumstance for which these provisions may not apply:

• During your candidature it may become clear that it will be necessary for you to use confidential material which you would not be at liberty to disclose in the thesis. In this situation the faculty or college may recommend to the Research and Research Training Committee that permission be granted to include, in an appendix, material essential to the thesis but which may not be made available for general inspection. Access to the appendix would then be restricted by the University Library for a period normally not exceeding five years. The examiners of the thesis and, as necessary, members of committees concerned with the examination will have unrestricted access to the appendix. The University Librarian may also grant access under certain conditions to bona fide scholars. See also the comments about collaborative research projects in Section 5 on intellectual property. Permission to include material in an appendix must be sought during your candidature and not after your thesis is completed.

• You may also apply for a deferment of public availability of your thesis if you are preparing your thesis for publication and have reason to believe your interests would be at risk if the thesis were immediately available. For example, an application for deferment might be made to allow time for registration or protection of intellectual property such as the filing of a patent application. Where this can be anticipated, it is important to apply as soon as possible and to provide an adequate explanation to allow the application to be assessed.

Sponsoring bodies/agencies should be made aware of the University policy which endorses the principle of early publication, and where possible the need for and duration of deferment should be included in the initial funding contract. In any case, applications for deferment of public availability of the thesis should be made as soon as the need for deferment is identified, and certainly before the thesis is submitted for examination.

Potential examiners will also need to be made aware of the confidential nature of the thesis matter and may be required to sign confidentiality agreements before the thesis can be examined.

Your faculty can grant a deferment of up to six months without further consultation and can recommend to the Research and Research Training Committee that a further deferment, normally no longer than an additional six months, be granted. In exceptional circumstances you may apply to defer public availability for a longer period. In all cases application is made via your faculty office, on the appropriate form, available from your faculty or from:
www.usyd.edu.au/ab/committees/rrtc/forms.

In all such applications, you should set out clearly the reasons for your request and submit firm evidence supporting it, such as a letter of acceptance from a publisher, contract with an industry partner or an explanation of the necessity to maintain confidentiality to protect patent or other rights. You will also need the support of your supervisor and head of department.

Submission

When you submit the required number of copies to the faculty office your thesis should be accompanied by the statement from your supervisor stating that the thesis is suitable for examination; note that many faculties will not accept your thesis unless it is accompanied by this statement.

At this point you will sign the statement about your thesis being available for public use after examination and will receive a receipt acknowledging lodgement. If appropriate, this receipt can then be used to claim thesis preparation expenses. Please contact your faculty office for advice if you will not be able to submit your thesis in person.

Once your thesis is lodged the faculty office will affix a label inside covering copyright in relation to the thesis before it is distributed for examination.

Electronic submission of theses

The Academic Board has made provision for electronic submission of theses for the purpose of examination where the candidate wishes to submit in this form and examiners are prepared to examine in this way.

While the present print form of submission is likely to remain the most acceptable form of submission for the foreseeable future, this new method will probably become increasingly popular with the passage of time and improvements in technology. It will also provide a saving in thesis printing and binding costs and examining time.

The introduction of the electronic option does not detract from the present system in any way and only increases the degree of choice available to both candidates and examiners.

The rules relating to electronic submission are set out in detail in Appendix 3. Students who wish to submit electronically need to inform their supervisor and faculty of their intention at least three months before their expected date of submission. Additionally, they need to specify clearly the medium(s)/format(s) in which they wish to submit.

It is the responsibility of the supervisor to advise examiners about the electronic format(s) available and to ascertain whether or not the examiner has the appropriate software available for electronic examination. It is not intended that examiners negotiate the format or that it be discussed between candidate and examiner.

The University provides general guidelines on the preferred form of electronic submission, with Academic Board policy suggesting submission of the thesis on disk. It is noted that the title of the thesis, the candidate’s initials and surname, the title of the degree, the year of submission and the name of the University of Sydney should appear on both the title page of the thesis and on a label affixed to the disk.

The Academic Board also suggests that each chapter must be contained in a separate document. Some faculties have decided that they prefer theses submitted electronically to be submitted as a single document, preferably in PDF format, which may easily be emailed to examiners.

It is also suggested that a hard copy of the thesis should normally be submitted for retention by the faculty office even when the thesis is being examined electronically, although faculties may waive this requirement.

If after examination the degree is awarded, candidates who elect to have their thesis examined electronically must still submit one permanently bound copy of the corrected thesis printed on acid-free paper, for lodgement in the University Library. Note that the degree will not be awarded until this has been done.

Dissemination of your thesis

As the Library is one of the contributing members to the Australian Digital Theses Program, you may also wish to have your thesis included in this database. Information regarding this project, the relevant deposit form and instructions on uploading your thesis may be obtained from the Library website:
www.library.usyd.edu.au/theses/subfaq.html.

You may wish to have your thesis listed in Dissertation Abstracts International and to be available for purchase from its publisher, University Microfilms International. Details, including the fee charged for this service, can be obtained by consulting the UMI website at: http://tls.il.proquest.com/en-US/products/dissertations.

Examination of thesis

The examination rules for the PhD are included in Appendix 3 in this handbook. While these rules refer specifically to the PhD, faculties are required to follow them (with appropriate modifications) for other research degrees.

Appointment of examiners

The examination process starts before the thesis has been completed. The University attempts to avoid any unnecessary delays in the examining process, and one way of reducing delays is to ensure that when the thesis is submitted the examiners have been arranged and are willing and ready to act.

You, as the candidate, should know when your thesis is likely to be ready for examination and alert your supervisor to identify suitable available examiners. Particularly at some times of the year it can take time to make contact with potential examiners who are able to examine when your thesis is expected to be submitted.

You are required to let your supervisor and/or the head of your department/school know, ideally three months before you expect to submit your thesis. There is a form for that purpose (the 'Notice of Intention to Submit Thesis' form) available from your faculty.

If you wish to submit your thesis in electronic form, you are required to advise your supervisor and/or the department/school, by way of the appropriate form (available at the faculty office), at least three months prior to submission.

While the appointment of examiners remains the responsibility of the University, you, as a candidate, may make an input. In appointing examiners the University seeks to ensure that they are appropriately qualified in and conversant with current research in the field concerned, are familiar with the requirements for the degree in question and are free from bias for or against the candidate or supervisor.

You, as the candidate, may indicate in writing to your head of department/school, chair of the postgraduate committee or dean of your faculty the name of any person whom you believe should not be appointed as an examiner, clearly stating your reasons. You may also initiate with your supervisor and/or head a discussion as to the range of possible examiners.

Care must be taken not to jeopardise the integrity and independence of the examination process. As such, you will not be privy to the names of the examiners chosen to mark your thesis until after the examination is complete, and only then if they agree to the release of their details.

In the case of the PhD, the recommendation for appointment of examiners is made on a form which reiterates all the requirements expected of examiners and asks for supporting documentation if the examiner is not obviously research active or qualified by virtue of an academic appointment to so act (if they have retired, for example, or work in industry). The procedure is similar but less elaborate for master’s degrees.

Before a PhD thesis can be dispatched for examination, the examiners must be approved by the PhD Award Sub-Committee of Academic Board. This is to ensure that they are suitably qualified to assess your work for the award of the degree.

Due to the time taken to approve the appointment of examiners, to avoid delay in the examination of your thesis it is essential that the appointment process is commenced before you submit your thesis. Lodgement of the Intension to Submit form three months before submission will prompt the faculty to contact your supervisor to formally commence the appointment process.

Generally, your supervisor will recommend the appointment to your head of department/school (who must officially make the recommendation), and the form is then forwarded for endorsement by the dean, and then to the PhD Award Sub-Committee. Once the PhD Award Sub-Committee has approved the appointment, the faculty will be contacted and the examination may commence as soon as your thesis is lodged.

Number of examiners

Three examiners are required for the PhD, DSW and EdD and generally two for master's degrees and for the SJD and doctorates by research and advanced coursework.

From 2001, it is a requirement of University funding that every postgraduate research thesis, including those at the master's level, be examined by at least one external examiner. In 2000 the Academic Board determined that there must be at least two examiners external to the University for the PhD degree, that an internal examiner need not be expected, and that the supervisor cannot be an examiner.

The examination

The examiners are requested to report within two months of receipt of the thesis. The faculty or college office monitors their progress and sends reminder notices if an examiner has not responded, and, if absolutely necessary, moves to appoint a replacement examiner.

On occasions there are problems with getting examiners' reports returned promptly. However, delays can be lessened by having examiners ready to act on receipt of the thesis at the time they expected to receive it, and ensuring where possible that your thesis is submitted at the time indicated on your 'Intention to Submit' form. If your thesis is not submitted within three months of the appointment of examiners, those examiners may need to confirm their continued willingness and availability to examine.

Examiners are required to produce independent reports on a thesis and are not told who the other examiners are. If consultation inadvertently takes place, they are asked to indicate in their reports the extent of that consultation.

Recommendations on thesis

When all the examiners' reports have been received, in respect of master’s degrees, the EdD, DSW and SJD, they are sent to the head of department/school for a recommendation. The head, particularly if there is any disagreement among the examiners, should, if reasonably possible, consult the supervisor and the annual progress reports before making a recommendation.

In the case of master’s degrees the recommendation is made to the dean of the faculty or to a designated associate dean or college officer who will either act or refer the recommendation to the faculty or college postgraduate committee.

In the case of the EdD, DSW, SJD and other doctorates by research and advanced coursework, the recommendation is made to the PhD Award Sub-Committee which can either award the degree without further conditions or subject to minor correction or subject to the making of emendations, or it can refer the recommendation to the faculty's postgraduate committee.

In the case of the PhD there has been a series of delegations allowing the relevant faculty, in certain circumstances depending on the recommendations of the examiners, to award the degree without further conditions, subject to minor correction or subject to the making of more substantial emendations or the satisfaction of other conditions. In other circumstances a recommendation is made to the PhD Award Sub-Committee which can decide on whether or not to award the degree and under what conditions.

The outcomes that are possible are as follows:

• that the degree be awarded without further conditions
• that the degree be awarded subject to minor correction before the degree is conferred (this includes correction of minor errors or omissions in the thesis, such as incorrect citations, omissions, or typographical errors, which must be corrected but which do not alter the conclusions of the thesis)
• that the degree be awarded subject to emendations being made in all the copies of the thesis to be retained in the University
• except in the case of the report of an oral examination, that the candidate be required to pass an additional (usually oral) examination or answer specific questions put by an examiner
• except in the case of the report of an oral examination, that further examination processes be gone through such as the appointment of an additional examiner or the appointment of an additional examiner to act as an assessor or the referral of the reports to the other examiners together with the comments of the supervisor
• that the candidate not be awarded the degree but allowed to revise and resubmit the thesis within a prescribed maximum period of time
• that the degree not be awarded.

The policy and procedures relating to oral examinations are set out below.

Where the recommendations of the examiners are all for award or for award subject to minor correction, the requirement for a recommendation from the head of department/school is dispensed with and the degree is awarded at faculty level. The candidate will be advised any corrections that are necessary by his or her head of department/school or supervisor. These corrections must be made in the Library copy of the thesis which must be lodged before graduation can occur.

Where the decision is that the degree will be awarded subject to the making of emendations the candidate will be advised what emendations are necessary by his or her head of department/school or supervisor. The Academic Board considers that copies of the thesis retained within the University (in Fisher or departmental libraries, for example) should be as free of error as possible and that where examiners have pointed out errors these should be corrected in all copies.

When these corrections/emendations have been completed to the head of department/school's satisfaction, the head so advises the faculty office which, after it receives a copy of the thesis for lodgement in the University Archives, writes a further letter advising that the degree is to be awarded.

Any emendations or corrections should normally be made within three months of the candidate being informed of the outcome. If this has not happened within that time the head of department/school is required to report the circumstances to the faculty or college's postgraduate committee which could then determine that the degree not be awarded. Quite simply, the sooner the emended thesis is submitted, the sooner your degree will be awarded.

If you are required to revise and resubmit you will be informed of this decision and invited to comment on the recommendation (see below). You will be advised on how long you have to complete the revision and when you will be expected to submit the revised thesis, and will be required to re-enrol for this period.

At the end of the revision period, you will resubmit copies of the thesis following the same process as for the first examination. Note that the same examiners will be reappointed to assess the revised thesis unless those examiners are unwilling or unable to act or the faculty considers that there are good academic reasons for not doing so.

When a thesis is submitted for re-examination, the examiners do not have available to them the recommendation of further revision and a third examination. Such a recommendation is available to the department/faculty only in exceptional circumstances and would require the special permission of the Research and Research Training Committee. In the case of a revised thesis, there is no option for the candidate to request that an oral examination be conducted.

In the circumstance that it has been recommended that the degree not be awarded, it may be possible to resubmit the thesis for a lower degree, graduate diploma or graduate certificate, either after some additional work or immediately. In the case of some degrees there is provision for the award of a lower degree without re-submission; for example, an MA can be awarded to an MPhil candidate.

If a faculty or college board forms the intention not to award the degree or not to award but allow revision and re-submission, there is a period of deferral to allow a process of consultation with the candidate. You will be advised in writing of the faculty or college board's intent and may be given unidentified copies of such of the examiners' reports as the examiners have said may be released.

You then have four weeks to give notice that you wish to provide comment on the proposed resolution of the faculty and a total of eight weeks to actually do so. This is a time when you should consult with your supervisor and/or your head of department/school or the associate dean or dean.

This process is intended to allow you to bring forward any additional information that you believe should be taken into account. Your comments, if any, are then considered by the faculty or college board and a decision made.

Examiners' reports

When this examination process is complete you will be sent the reports of the examiners or extracts from those reports. If the examiner has agreed to the release of his or her name the report will be identified; otherwise, reports are anonymous.

Examiners are asked to return their copies of the thesis by surface mail. You will be advised if and when these are received back in the faculty office so that you can either collect them or give instructions for their disposal.

Examiners are requested to make all comments or note all necessary corrections in the formal examination report, so access to the hard copy of the thesis that they have examined is generally not needed to complete any recommended changes before submission of the final version of the thesis.

Please note that while examiners are requested to return theses sometimes they fail to do so (especially if they are located overseas) and do not respond to further reminders. That is generally as far as the University will take the matter, so please do not harass administrative staff to chase outstanding copies.

Occasionally an examiner will ask to keep a copy of a thesis and such a request will be passed on to you after the examination process is complete. It could be an advantage for you in your professional career to comply with such a request, but you are by no means obliged to do so.

Oral examination of PhD Theses

This form of examination may not be appropriate for some projects. Students should discuss the possibility of an oral examination with their supervisor and faculty early in their candidature.

The objectives of an oral examination

An oral examination or re-examination of a thesis is seen as a desirable means of assessment, since it provides a means:

• to test the comprehension of the candidate of the field of study described by the thesis and any appended material
• to clarify points either of principle or of detail in the thesis
• to assess the contribution made by the candidate to the content and presentation of the thesis
• to provide an educationally rewarding and personally satisfying finale to the PhD candidacy, and
• to give the candidate the benefit of advice from the examiners.

In addition, the oral examination has the potential to reduce the length of a thesis examination by, for example, directly familiarising the examiners with the University's standards and expectations, by clarifying points which might otherwise be dealt with by re-examination, and by providing a firm date for completion of the examination.

Note: The oral should not be a forum in which the examiners' recommendation(s) are debated or challenged by the head of department/school, supervisor or candidate.

The content of the oral examination

The oral examination of the thesis examines only that material which would be examined by a thesis-only examination (ie the content of the thesis and any appended material).

The recommendation to conduct an oral examination

The dean of the faculty, or nominee, has the responsibility for determining that an oral, rather than a thesis-only examination, be conducted.

• An oral examination of the thesis can be recommended by the head of department/school or requested by the student. (To be consistent with other resolutions, however, a student cannot request an oral examination of a resubmitted thesis.)
• The head of department/school should already have discussed the examination process, including the possibility of an oral examination, with the student, and should confirm with the examiners their willingness to conduct an oral examination before appointment.
• An oral examination of the thesis is approved by the dean or nominee.
• An oral examination of the thesis will be approved only if the head of department confirms that the department/school will arrange the oral examination and bear the associated costs (including where necessary travel and accommodation for the examiners or the provisioning of video-, web- or tele-conferencing facilities).
• The examiners are notified and must agree to participate.
• The dean appoints a convener from the faculty in which the candidate has been studying.
• The examiners' written reports are required within eight weeks of the submission of the thesis.
• The oral examination is set, prior to the submission of the thesis, for a date within approximately 10 weeks after the date of submission.
• If the student fails to submit the thesis by the nominated date, the examination reverts to a thesis-only examination.
• Each examiner provides an interim recommendation.
• The convener examines the examiners' reports and recommends to the dean whether an oral should be held (eg no oral may be needed if all recommend: award, awarded subject to minor correction, revise and resubmit, non-award).
• If the dean agrees that no oral is required, the examiners are so advised and informed that their interim recommendations become confirmed recommendations.
• If no oral is required, the examiners' reports and recommendations are processed as for a thesis-only examination.

Conduct of the oral examination

The oral examination is conducted in the following manner:

• The candidate, head of department/school and supervisor are given copies of the examiners' reports and interim recommendation.
• The oral examination is chaired by the convener. The candidate may be accompanied by another member of the University, nominated by the candidate.
• The oral examination will normally last between one and two hours.
• Absent examiners may participate by video-, web- or tele-conferencing, as may the candidate.
• Absent examiners may send questions to the convener.
• Detailed responses to questions provided by absent examiners need not be returned to them.
• At least two examiners must participate in person or by video, web or telephone link.
• At the conclusion of the discussion with the candidate, the convener and the participating examiners prepare the examining committee's recommendation in camera.
• The supervisor and the head of department/school will not be present at the closed session, but the head will be consulted and the supervisor advised about the result to be recommended after the completion of the oral examination.
• The convener advises the candidate of the examiners' recommendation.
• The examiners may resolve to recommend that the degree be awarded subject to conditions listed in the examiners' report. These conditions should be addressed to the satisfaction of the head of department/school. In this case, the convenor, in consultation with the head of department/school, will determine the emendations required.
• The convener prepares a report, endorsed by the members of the examining committee present, describing procedures followed, conclusions reached and advice given to the candidate.
• The candidate and head of department endorse the report as appropriate.
• The convener forwards the report to the dean.
• Should the examiners participating in the oral examination fail to agree, the convener asks them to supply any revision of their interim reports within two weeks. The examiners' final reports and the convener's report are then considered by the University as for the examiners' reports in a thesis-only examination.

Outcomes of the oral examination

If the examiners recommend award of the degree, or award subject to the making of emendations and the head of department/school agrees, the dean can approve award of the degree. The conduct of an oral examination and the result of the examination are reported to the faculty postgraduate studies committee and the PhD Award Sub-Committee for noting.

If the head of department/school disagrees with the examiners' report and/or the examiners recommend revise and resubmit or non-award, the examining committees' report, the head of department/school's comments and, if appropriate, the candidate's comments are forwarded to the faculty's postgraduate studies committee and the PhD Award Sub-Committee for consideration under sections 3(4) of the Resolutions of the Academic Board relating to the Examination Process (as set out in Appendix 3).

This is not intended to represent a form of veto by the head of department/school. It simply reflects the existing practice in which the head of department/school is required to comment on the examiners' reports.

Role and responsibilities of the convenor

Normally, the convener, appointed by the dean of the faculty, will be from a department/school other than the one in which the student is enrolled. The convener is a representative of the dean, and is authorised and required to:

• discuss with the candidate in advance, the nature of the oral examination, noting that candidates are expected to prepare their own defence
• advise the candidate, before the examination, of the main issues to be raised by examiners, observing, however, that examiners would have the right to ask other questions
• assure the candidate that the examination is intended to be constructive and helpful
• chair the closed session of the oral defence of the thesis
• explain the proceedings to the examiners and the candidate
• advise the candidate at the end of the session, on behalf of the dean, of the outcome of the examination
• give the head of department/school the opportunity to append comments to the convener’s report on the oral examination, and
• provide a report to the dean of the faculty, outlining the procedures followed, the conclusions reached and advice given to the candidate; this report should be written at the conclusion of the oral examination and endorsed by the members of the examining committee present.

Outcomes of candidature

When the award of the qualification has been approved and the corrected, archival copy of the thesis has been lodged in the Library, the Registrar will write advising you of this and will send you details of the next conferring ceremony at which you may graduate.

A graduation information package will be sent several weeks before the ceremony, which will include tickets for three guests, information about the graduation ceremony itself and academic dress hire. A booklet about academic dress is available from the Student Centre and the academic dress for the various degrees is also listed in the Calendar.

Alternatively, you may apply to have your degree conferred in absentia, without attending a graduation ceremony. Information about how to arrange this will be sent with the graduation package. Note that until the qualification has been conferred, you are not entitled to call yourself a graduate in that course or to use any title associated with it.

For more information about graduation, please visit the Graduations Unit website: www.usyd.edu.au/studentcentre/grads.

Post-submission

Traditionally, on submission of a thesis for examination, a candidate is no longer considered to be a student and access to core services ceases. The University recognises, however, that access to facilities such as email and the Library are essential to students immediately post-submission, to allow for preparation of publications arising from your research, maintain relationships with academic contacts, and ultimately to make any emendations that may be required before submission of the archival copy of your thesis.

Throughout 2009, students will automatically continue to have full borrowing rights at the Library from the time of submission until the award of the degree; continuing access after award is currently being discussed by the Library and Alumni & Community Relations.

At the time of publication, automatic continuing email access after submission is still being finalised, so please check with your faculty office if you need continued access to email after you submit your thesis.

Grading systems for postgraduate research degrees

All faculties which award grades for coursework in postgraduate award courses, whether research or coursework award programs, are asked to use the same grading system that is used University-wide for undergraduate programs (that is, the Fail, Pass, Credit, Distinction and High Distinction system).

In respect of research master’s degrees, a degree may be either awarded or not awarded at the end of the examination process, as for the PhD, and no provision should exist for research degrees to be awarded with any class or classes of honours or with merit or other distinction.

Provision should be made, however, for the thesis to be allocated a grade of Pass, Credit, Distinction or High Distinction so that faculties are able to award one of these grades as a thesis final result. This result will then be entered upon candidates’ transcripts of academic record and can be used for scholarships ranking.

Faculties need to inform examiners of the range of marks used by the University for awarding grades.