THESIS AND EXAMINATION OF HIGHER

DEGREES BY RESEARCH PROCEDURES

2020
Issued by: Academic Board

Dated: 9 June 2020, commencing 1 July 2020

Last amended: 1 March 2021

14 September 2021, commencing 21 September 2021

24 April 2023 (administrative amendments)

Signature:

Name: Associate Professor Anthony Masters, Chair, Academic Board

_______________________________________________________________________

CONTENTS
Contents ............................................................................................................................. 1
1 Purpose and application ....................................................................................... 2
2 Commencement.................................................................................................... 2
3 Interpretation ......................................................................................................... 2
Part 1 – Administration of examinations ........................................................................ 3
4 Administration of examinations ............................................................................. 3
Part 2 – Proof-reading and editing of theses ................................................................. 4
5 Proof-reading and editing of theses ...................................................................... 4
Part 3 – Thesis examination process and outcome ...................................................... 4
6 Notice of intention to submit ................................................................................. 4
7 Thesis examination progress ................................................................................ 5
8 Submission checks ............................................................................................... 5
9 Proposing examiners ............................................................................................ 5
10 Commissioning examiners .................................................................................... 6
11 Examiners’ reports on the thesis .......................................................................... 7
12 Monitoring examiners’ reports .............................................................................. 7
13 Replacing examiners ............................................................................................ 8
14 Considering examiners’ reports ............................................................................ 8
15 Additional examiner ............................................................................................ 10
16 Examiner-as-assessor ........................................................................................ 10
17 Outcome of examination: award without conditions or with corrections ............. 11
18 Outcome of examination: non-award with revision and re-examination ............. 12
19 Outcome of examination: non-award with option to award another degree ....... 13
20 Outcome of examination: non-award .................................................................. 13
21 Communication with the student during examination process ........................... 13
Part 4 – Oral and exhibition examinations ................................................................... 14
22 Requesting an oral or an exhibition examination................................................ 14
23 Conduct of oral examinations generally ............................................................. 14
24 Exhibition examinations ...................................................................................... 17
25 Role of the chair of examination in an oral examination ..................................... 17
Part 5 – Joint PhD degrees ............................................................................................. 18
26 Examination of joint PhD degrees ...................................................................... 18
Part 6 – Thesis with publications .................................................................................. 18
27 Nature of publications to be considered with thesis ........................................... 18
28 Method of inclusion of published material in a thesis ......................................... 19
29 Authorship of papers included in a thesis with publications ............................... 19
30 Examination of a thesis with publications ........................................................... 19
Part 7 – Thesis containing creative or artistic components ....................................... 20
31 Examination of a thesis containing creative or artistic components ................... 20
Part 8 – Lodgement of theses in library ........................................................................ 20
32 Lodgement of theses in the University library ..................................................... 20
part 9 – Aegrotat and posthumous awards .................................................................. 21
33 Eligibility .............................................................................................................. 21
34 Prior to examination ............................................................................................ 22
35 The examination ................................................................................................. 22
36 Conferral of the degree ....................................................................................... 23
37 Rescissions and replacements ........................................................................... 23
Notes ................................................................................................................................ 23
Amendment history......................................................................................................... 24

1 Purpose and application

(1) These procedures are to give effect to the Thesis and Examination of Higher
Degrees by Research Policy 2015 (“the policy”).
(2) These procedures apply to staff, students, affiliates and any other persons involved
in research higher degree theses and examination.

2 Commencement
These procedures commence on 1 July 2020.

3 Interpretation
(1) Words and phrases used in these procedures and not otherwise defined in this
document have the meanings they have in the policy.
Note: See clause 6(1) of the policy

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 2 of 25

 copy-editing means identifying errors in, and correcting, the presentation of the
and proof text so as to conform with standard usage and conventions,
reading including:

• spelling
• quotations
• use of italics
• lists
• word usage
• punctuation
• graphs
• charts
• citations
• references
• heading hierarchies
• symbols and equations
• headers and footers
• style of numbers
editor means any person providing paid or unpaid assistance to students
in the preparation of the thesis. This also includes University and
faculty writing advisors. Editors are not required to be accredited
by the University or any professional organisation.

local availability means, in relation to a thesis lodged with the University library, the
thesis will be able to accessed, viewed, re-used and cited by
current staff and students of the University.

open access means, in relation to a thesis lodged with the University library, the
thesis will be available on unrestricted and free online access.

Research means the software system provided by the University to support

Education higher degree by research students with the management of
Candidature research education candidature.
System (RECS)

PART 1 – ADMINISTRATION OF EXAMINATIONS

4 Administration of examinations
(1) Examinations will be managed and administered through RECS, except for.
(a) venue booking;
(b) scheduling; or
(c) remitting with payment of examiner honoraria.

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 3 of 25

PART 2 – PROOF-READING AND EDITING OF THESES

5 Proof-reading and editing of theses

(1) Students are permitted to use editors in preparing their thesis for submission.
Note: See clause 8(2)(c)(ii) of the policy

(2) Before using an editor, a student must:

(a) discuss the use of an editor with their lead supervisor;
(b) provide the editor with a copy of these procedures; and
(c) require that their editor is aware of and abides by the standards set out in
the Australian Standards for Editing Practice (ASEP) 2013.
Note: As at the date of these procedures the Australian Standards for Editing
Practice (ASEP) 2013 can be found at the website of the Institute of
Professional Editors Limited.

(3) An editor may only be used for:

(a) copy-editing and proofreading; and
(b) providing advice about:
(i) matters of structure (the need to structure and reword, deletions,
additions);
(ii) conventions of grammar and syntax;
(iii) using clear language;
(iv) logical connections between phrases, clauses, sentences,
paragraphs, and sections;
(v) voice and tone; and
(vi) avoiding ambiguity, repetition and verbosity.
(4) When an editor has been used:
(a) the name of the editor and a brief description of the service rendered must
be printed as part of the list of acknowledgements or other prefatory matter
near the front of the work when it is presented for examination; and
(b) if the editor’s current or former area of academic specialisation is similar to
that of the student, this must also be stated.

PART 3 – THESIS EXAMINATION PROCESS AND

OUTCOME

6 Notice of intention to submit

(1) The student must submit their notice of intention to submit in RECS and should do
so at least three months prior to the intended submission date.
(2) If a student elects to be examined in emergency conditions, the notice of
submission must be forwarded to the relevant Associate Dean for consideration of
whether the criteria in subclause 9A of the policy have been met.

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 4 of 25

7 Thesis examination progress
(1) RECS will inform students and supervisors about the progress of the examination
by displaying the current stage of the examination and the date on which the
examination entered that stage.
(2) Stages include:
(a) examiners nominated;
(b) examiners appointed;
(c) thesis successfully submitted for examination;
(d) thesis checked for integrity and acceptability;
(e) thesis sent to examiners;
(f) oral examination scheduled, if required;
(g) assigned to exhibition, if required;
(h) all examiners have reported back;
(i) oral or exhibition examinations have been completed;
(j) examination reports are with the relevant committee for decision.

8 Submission checks
(1) On receipt of a thesis submitted for examination, the administrative unit
responsible for candidature management processes will apply similarity detection
software.
(2) If the similarity detection software results indicate possible inappropriate academic
practice, code breach, or research misconduct, the administrative units will arrange
for an academic staff member with appropriate expertise in the subject matter of
the thesis to review the results and determine if the matter should be further
investigated.
(3) Any possible inappropriate academic practice, code breach or research
misconduct will be managed in accordance with the Academic Integrity Procedures
2022.
(4) The administrative unit may only forward a thesis to examiners once they are
satisfied that:
(a) it is compliant with the Thesis and Examination of Higher Degrees by
Research Policy 2015; and
(b) there is no detected inappropriate academic practice, code breach or
research misconduct.

9 Proposing examiners
(1) The lead supervisor should consult potential examiners before proposing them to
confirm that:
(a) they are willing and able to act within the timeframe expected; and
(b) they agree to their names and comments being released to the student.
Note: In exceptional circumstances this information may be withheld. See clause 21 of
these procedures.

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 5 of 25

(2) The lead supervisor must:
(a) propose examiners using RECS;
(b) submit the proposal using RECS, within four weeks of the earlier of:
(i) the submission of the student’s intention to submit; or
(ii) the submission of thesis for examination.
(3) If the lead supervisor has not proposed examiners within two weeks of the date
required in subclause 9(2), the Associate Dean must nominate examiners
consistently with these procedures.
(4) The lead supervisor (or, if appropriate, the Associate Dean) must provide the
following for each proposed examiner:
(a) whether they are currently active in research;
(b) their previous experience as an examiner;
(c) their relevant expertise;
(d) the international standing of the examiner’s research
(e) whether they have agreed to act as examiner;
(f) whether they are able to conduct an oral examination;
(g) whether they are able to conduct an exhibition examination;
(h) whether they are able to examine the thesis in electronic form;
(i) the language, if not English, in which they would submit their report; and
(j) a conflict of interests declaration.
Note: See Declaration of external interests

(5) The lead supervisor must provide written justification if proposing any of the
following:
(a) an individual who does not come from a university or degree-granting
institution;
(b) an emeritus or honorary professor, or other retired academic; or
(c) an individual with no previous experience examining research higher degree
theses; or
(d) an individual with a conflict of interests.
(6) Where appropriate, such written justification should include:
(a) information regarding research activity in the past 5 years; and
(b) how any conflicts of interest could be effectively and appropriately managed.

10 Commissioning examiners
(1) The administrative unit will commission approved examiners by sending each
examiner:
(a) access to the thesis in the requested format;
(b) a copy of the policy, these procedures and all applicable guidelines;
(c) the resolutions applicable to any faculty-based higher degree by research,
as appropriate;

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 6 of 25

 (d) proposed arrangements for an oral examination, if applicable;
(e) proposed arrangements for an exhibition examination, if applicable;
(f) any specific conditions relating to the examination process; and
(g) the name and contact details of the relevant administrative staff member for
communication regarding the process.

11 Examiners’ reports on the thesis

(1) Examiners must complete their reports in RECS within six weeks of the despatch
of the thesis.
(2) For examinations undertaken in the usual course each examiner’s report must
include a statement as to whether the examiner is satisfied that the thesis meets
the criteria prescribed in clause 8 of the policy.
(2A) For examinations undertaken in emergency conditions, each examiner’s report
must include a statement as to whether the examiner is satisfied that:
(a) the thesis meets the criteria prescribed in clause 8A of the policy; and
(b) the student has demonstrated the graduate qualities.
(3) Each examiner must include a recommendation about the outcome of the award
consistent with clause 23 of the policy.
(4) Each examiner’s report must specify:
(a) the grounds on which their recommendation is based; and
(b) the strengths and weaknesses of the thesis and the particular contributions
made by the student; and
(c) a detailed list of corrections required; or
(d) the basis for requiring the student to revise and resubmit; or
(e) the basis for non-award.
(5) Examiners who are submitting a report in a language other than English must
provide their recommendation and a summary of their report in English.
(6) Examiners may include suggestions for the next steps in research or
improvements for publication that are not essential for the award of the degree.

12 Monitoring examiners’ reports

(1) When an examiner submits a report, the administrative unit will:
(a) acknowledge receipt of the report; and
(b) arrange for payment of the appropriate honoraria to external examiners.
(2) If an examiner has not returned the report within four weeks, the administrative unit
will contact the examiner with a reminder of the due date.
(3) If an examiner has not returned a report within six weeks, the administrative unit
will make contact to:
(a) remind the examiner of the conditions of examination; and
(b) ask when the report can be expected.

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 7 of 25

(4) If an examiner has not returned a report within ten weeks, the administrative unit
will inform the examiner that if the report is not received within a further two weeks:
(a) it will not be accepted;
(b) if an external examiner, the examiner will not be eligible for payment of an
honorarium; and
(c) a replacement examiner will be appointed.

13 Replacing examiners
(1) If an examiner’s report is not received within the further two week period referred to
in subclause 12(4):
(a) the lead supervisor will propose a replacement examiner; and
(b) the faculty will appoint a replacement examiner based on this
recommendation.
(2) If an additional or reserve examiner has already been approved then this person
may be used as a replacement examiner.
(3) If an additional examiner has not already been approved, one must be proposed,
approved and commissioned consistently with clauses 9 and 10 of these
procedures.
(4) If the original examiner returns a report after a replacement examiner has been
commissioned:
(a) the original examiner’s report will not form part of the body of evidence
considered in awarding the degree;
(b) the original examiner will be informed that no further information is required;
and
(c) no honorarium will be made.

14 Considering examiners’ reports

(1) The administrative unit will release the examiners’ reports to the lead supervisor
and chair of examination after all examiners’ reports have been received.
(a) The relevant Associate Dean or Chair of the faculty committee may release
reports to the lead supervisor and chair of examination at an earlier date in
exceptional circumstances.
(2) Once all the examiners’ reports have been received, the chair of examination:
(a) will consider the reports; and
(b) should consult the lead supervisor, head of school or postgraduate
coordinator, any of whom may provide a written report.
(3) The chair of examination will then provide a report and make a recommendation to
the relevant committee about the outcome of the examination.
(a) This report must be completed no less than two weeks after receipt of the
examiners’ reports and must include:
(i) details of the nature and extent of any consultation; and
(ii) a copy of any written report received.

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 8 of 25

(4) The chair of examination’s report must specifically refer to all concerns expressed
by the examiners:
(a) specifying which concerns must be addressed and which need not be
addressed; and
(b) including instructions to the student where the recommendation is:
(i) award with corrections;
(ii) non-award with provision to revise and resubmit; or
(iii) non-award with the option to award another degree, where corrections
are required.
(5) After considering the examiners’ reports and the chair of examination’s
recommendation, the relevant committee will determine whether:
(a) there is sufficient information to determine the outcome of examination
consistently with clause 23 of the policy;
or
(b) further information is required, such as:
(i) consulting with the student (which must be done in writing);
(ii) requesting additional information from the lead supervisor, chair of
examination, Associate Dean, head of school or postgraduate
coordinator;
(iii) where the relevant committee is the faculty committee, consulting the
HDR Examinations Subcommittee; or
(iv) obtaining any further information deemed necessary;
(c) further action is required, such as:
(i) appointing an additional examiner; or
(ii) appointing an examiner-as-assessor;
(d) there is a need to refer the matter for further investigation, for example in the
relation to possible plagiarism or research misconduct.
Note: See also clauses 15 and 16 of these procedures

(6) If the relevant committee is unable to form an intention in respect of an award or

non-award, it must appoint an examiner-as-assessor as provided in clause 19 of
the policy.
(7) When it considers that it has sufficient information to do so, the relevant committee
will make an initial decision on the outcome of examination consistently with clause
23 of the policy.
(8) If the initial decision is to award the degree, whether without conditions or with
corrections, the relevant committee will follow the steps prescribed in clause 17 of
these procedures.
(9) If the initial decision is not to award (whether with or without an option to revise and
resubmit or to award to another degree) the relevant committee must notify the
student in writing of the decision, and:
(a) provide the student with
(i) de-identified copies of the examiners’ reports;
(ii) the chair of examination’s recommendation; and

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 9 of 25

 (iii) any written supervisor reports; and
(b) inform the student that they have:
(i) two weeks from the date of notification to state their intention to reply;
and
(ii) if the student has stated an intention to reply, six weeks from the date
of notification to provide written comments to the relevant committee.
(10) If the student provides comments within the specified time, the relevant committee
will:
(a) further consider the examiners’ reports, the chair of examination’s report,
and any comments provided by:
(i) the student;
(ii) the supervisor; and
(iii) the head of school or postgraduate co-ordinator;
and
(b) confirm or revise its initial decision on the outcome of examination. The
relevant committee will follow, as appropriate to the decision, the steps
prescribed in clauses 17, 18, 19, and 20 of these procedures.

15 Additional examiner
(1) Additional examiners should be proposed and commissioned consistently with
clauses 9 and 10 of these procedures.
(2) These procedures apply to the provision and consideration of an additional
examiner’s report in the same way as for an original examiner’s report.

16 Examiner-as-assessor
(1) An examiner-as-assessor must complete an initial independent examination of the
thesis based on the same criteria as all examiners.
(a) For exhibition examinations, this will include a review of a documentary
recording.
Note: See subclauses 8(5)(a) and 13(3) of the policy

(2) Having completed the initial examination of the thesis, the examiner-as-assessor
must then consider:
(a) de-identified copies of all examiners’ reports;
(b) comments from the chair of examination;
(c) comments from the supervisor, if received;
(d) comments from the student, if received;
and assess the validity of the expressed concerns with the work under
examination.

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 10 of 25

(3) The examiner-as-assessor must provide a written report containing:
(a) an examiner’s report, including a recommendation about the outcome of the
examination; and
(b) response to the comments of the other parties.
(4) The chair of examination will consider the report of the examiner-as-assessor and
provide a further report, including a recommendation regarding the outcome of the
examination, to the relevant committee.
(5) The relevant committee will then consider the examiner-as-assessor’s report and
the chair of examination’s report in the manner required by clause 11 of these
procedures.

17 Outcome of examination: award without conditions or with

corrections
(1) If the outcome of an examination is that the degree be awarded without conditions,
the relevant committee must:
(a) set the latest date by which the final version of the thesis must be lodged
with the University. The latest date will normally be three months from the
date of notification of outcome of examination; and
(b) notify the student in writing.
(2) If the outcome of an examination is that the degree be awarded subject to
corrections, the relevant committee must:
(a) detail the corrections required to be made to the final version of the thesis;
(b) set the latest date by which the final version of the thesis, including the
corrections, must be lodged with the University.
(i) The latest date should be consistent with the extent of corrections
required and usually not more than three months from the date of
notification of outcome of examination; and
(c) notify the student in writing.
(3) When the corrected version is provided, the chair of examination will review the
final version of the thesis and either:
(a) verify that the required corrections have been addressed to their satisfaction;
or
(b) notify the student in writing of the further corrections required to be made
and set the latest date by which the final version of the thesis must be
lodged with the University.
(4) Where the student does not lodge the final version of the thesis by the set date, the
Associate Dean must either:
(a) set a new latest date by which the final version must be lodged and notify
the student in writing; or
(b) determine the result to be ‘not awarded’.

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 11 of 25

18 Outcome of examination: non-award with revision and re-
examination
(1) If the outcome of an examination is that the degree not be awarded, but the
student be permitted to revise and resubmit the thesis for re-examination, the
relevant committee must:
(a) specify the reasons for non-award;
(b) prescribe a maximum period of further candidature, normally two to four
research periods;
(c) set the latest date for the student to resubmit their thesis for examination;
(d) set the date by which the student must re-enrol or apply for suspension of
candidature consistently with subclauses 18(2) and 18(3);
(e) detail the additional work or changes required;
(f) prescribe any other conditions that must be met by the student; and
(g) notify the student in writing within one week of the decision being made.
(2) The student must re-enrol for the degree whilst the thesis is being revised.
(3) The student must re-enrol or apply for a suspension of candidature no later than
census date of the next research period following the notification of permission to
revise and resubmit.
(a) If the student does not do so, the Associate Dean must determine the result
to be ‘not awarded’.
(4) The original examiners should be invited to re-examine the thesis if they are
available and willing to do so unless, in the opinion of the relevant committee:
(a) they have previously required modifications to the thesis that are considered
unnecessary or undesirable; or
(b) there are academic reasons for not recommissioning any or all of the original
examiners.
(5) The examination of a revised and resubmitted thesis is a new examination of the
whole thesis, which must be carried out in accordance with the policy and these
procedures.
(6) The HDR Examinations Subcommittee may prescribe a form for presentation of
reports by examiners of a revised and resubmitted thesis and examiners must use
any such form.
(7) The examination of a thesis resubmitted after a period of revision can be done in
oral or thesis-only mode. Exhibition mode examinations are unavailable.
(a) The documentary record of the exhibition or performance must be included
in a resubmission of a thesis previously examined in exhibition mode.
(8) No further opportunity to revise and resubmit the thesis is permitted as an outcome
of the new examination.

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 12 of 25

19 Outcome of examination: non-award with option to award
another degree
If the outcome of an examination is that the degree not be awarded, but with the option to
award another degree, the relevant committee must:
(a) specify the reasons for non-award;
(b) specify the other degree for which the student is eligible which may be
awarded instead;
(c) detail any corrections required to be made to the final version of the thesis to
the satisfaction of the chair of examination as per the process in subclauses
17(2), (3) and (4) of these procedures;
(d) set the latest date by which the final version of the thesis, including the
corrections, must be lodged with the University. The latest date will normally
be three months from the date of notification of outcome of examination; and
(e) notify the student in writing within one week of the decision being made.

20 Outcome of examination: non-award

If the outcome of an examination is that the degree not be awarded, the relevant
committee must:
(a) specify the reasons for non-award; and
(b) notify the student in writing within one week of the decision being made.

21 Communication with the student during examination process

(1) Any consultation with the student required under the policy or these procedures
must be undertaken in writing and appropriately recorded.
Note: See Recordkeeping Policy 2017

(2) Unless, in exceptional circumstances, the Associate Dean determines otherwise,

the administrative unit should provide the student with de-identified examiners
reports:
(a) as part of any consultation process with the student; and
(b) at the notification of the result of the examination.
(3) Unless, in exceptional circumstances, the Associate Dean determine otherwise,
the administrative unit will provide the student with the names of the examiners at
the conclusion of the examination process.

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 13 of 25

PART 4 – ORAL AND EXHIBITION EXAMINATIONS

22 Requesting an oral or an exhibition examination

(1) Oral examinations may be requested by:
(a) the student, at the notification of intention to submit, after discussion with the
lead supervisor; or
(b) a lead supervisor when proposing examiners.
(2) Proposed examiners must have agreed to an oral examination.
(3) Prior to commissioning an in-person oral examination, the postgraduate
coordinator must have:
(a) agreed to financial support for the examiner’s travel and accommodation;
and
(b) have secured the relevant budget-holder’s approval for expenditure of funds.
(4) Proposed examiners must have agreed to the way in which the oral examination is
to be held, such as in-person, or through electronic conferencing.

23 Conduct of oral examinations generally

(1) If an oral examination is to be held the chair of examination will act as convenor of
the oral examination, noting that the chair of examination is not an examiner.
(2) Supervisors must not be present in the oral examination.
(3) All parties to an oral examination must participate in person, or by telephone,
video, web or teleconference.
(4) The student may elect to have a support person attend the oral examination. In
this case, the support person must also participate in person, or by telephone,
video, web or teleconference. In-person participation is preferable.
(5) The chair of examination will set the date of the oral examination.
(a) Where an oral examination is planned from the outset of the examination
process, this date should be when the thesis is ready to be sent to
examiners and no more than six weeks from despatch of the thesis to
examiners.
(6) Each examiner will be sent the thesis or, in the case of an exhibition mode
examination, the written component of the thesis, as soon as possible after the
date of submission.
(7) Each examiner must submit an interim report at least seven days prior to the
scheduled date for the oral examination, including interim recommendations for the
outcome.
(a) These recommendations must not be passed on to the student.

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 14 of 25

(8) This interim report must contain:
(a) interim recommendations for the outcomes;
(b) a summary of key strengths and weaknesses of the work presented in the
thesis;
(c) indicative questions that may be asked of the student to help clarify issues
raised by the summary of strengths and weaknesses.
(9) If one or more examiners do not submit their interim reports by the due date, the
administrative unit must:
(a) contact them to determine whether an interim report will be received before
the scheduled date for the oral examination; and
(b) advise the chair of examination of the new due date, or if the report is not
going to be received.
(10) The chair of examination will determine whether:
(a) the oral examination will proceed on the scheduled date, with or without all
of the interim reports; or
(b) the oral examination should be re-scheduled; and
(c) will notify the student of the decision in writing.
(11) The chair of examination will:
(a) review the interim reports; and
(b) release them to the lead supervisor no less than three days before the
scheduled date of the oral examination.
(12) The lead supervisor must discuss the interim reports with the student no less than
two days before the scheduled date of the oral examination.
(13) Unless local provisions prescribe otherwise, oral examinations should not exceed
six hours duration.
(14) If one or more examiners recommend that the thesis is not sufficiently prepared for
an oral examination, then:
(a) each examiner making such a recommendation must give:
(i) reasons for this recommendation; and
(ii) guidance for the student on remediation.
(b) the chair of examination must advise the relevant committee whether or not
the oral examination should proceed, with written reasons; and
(c) the relevant committee must decide whether to proceed with the oral
examination or cancel.
(15) An oral examination cancelled on the basis of subclause 23(14) will be treated as a
decision not to award with an option to revise and resubmit, in accordance with
clause 18 of these procedures.
(16) If the examined thesis was submitted in response to a previous revise and
resubmit decision, the relevant committee will determine the outcome which must
be either:
(a) non-award with option to award another degree, as provided in clause 18 of
these procedures; or
(b) non-award as provided in clause 20 of these procedures.

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 15 of 25

(17) An oral examination of a thesis which includes a creative or artistic component
must:
(a) test the comprehension of the student of the field of study described by the
thesis and presented in the creative or artistic component;
(b) clarify points either of principle or of detail in the creative or artistic
component; and
(c) assess the contribution made by the student to the content and presentation
of the creative or artistic component and the written component of the thesis.
(18) The oral examination will be conducted in three phases:
(a) initial consensus, where the examiners will meet, discuss their interim
recommendations and agree questions to be asked;
(b) examination phase where the examiners discuss the thesis with the student,
noting that the chair is not an examiner, and that student may have a
support person such as a colleague, friend, family member or student
representative present;
(i) A support person may discuss or consult with the student during the
examination;
(ii) A support person has no right to be heard or contribute to examination
discussions, except with the consent of the chair of examination.
(c) final consensus, where the examiners agree a recommended outcome and
necessary actions to be completed by the student. Only the chair of
examination and the examiners may be present at this discussion.
(i) if a consensus has been reached, the student may be invited back to
the meeting; and
(ii) informed of the recommendation being made.
(d) The chair of examination must update the examination record in RECS as to
whether consensus was reached, no more than 24 hours after the oral
examination of exhibition has been concluded.
(19) The chair of examination must prepare a single report containing a consensus
recommendation about the outcome and must specify:
(a) the recommended outcome of the examination, consistent with clause 23 of
the policy;
(b) the process undertaken by the conduct of the oral examination;
(c) the information provided to the candidate; and
(d) recommendations for any corrections or other conditions necessary for an
award.
(20) The oral examination report will be considered together with, and in the same
manner as, the examiners’ reports.
Note: See clause 14 of these procedures

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 16 of 25

(21) If the examiners fail to reach consensus:
(a) each examiner must confirm or revise their interim reports within two weeks
of the private meeting; and
(b) the examiners’ final reports and the chair of examination’s report must then
be considered in the same manner as examiners’ reports in a thesis-only
examination.
Note: See clause 21 of the policy and clause 14 of these procedures

24 Exhibition examinations
(1) An exhibition examination is one where a physical installation, a gallery display or
an in-person performance is part of the thesis under examination.
(2) Supervisors must not be present during an exhibition examination.
(3) An exhibition examination consists of two phases:
(a) a gallery phase where the student presents their art work to the examiners
and may discuss the research with examiners, mediated by the convenor;
and
(b) an oral examination phase as described in clause 22.
(4) An exhibition examination may also include any of:
(a) a contextualisation of the student’s work, where the student presents the
development of the thesis to the examination panel;
(b) discussion of the creative or artistic component of the thesis at the site of the
exhibition with the student; or
(c) discussion of the written component and related matters with the student.

25 Role of the chair of examination in an oral examination

The chair of examination is a representative of the faculty and must:
(a) inform the examiners and the student of the administrative arrangements for
holding the oral examination;
(b) discuss with the student, prior to the examination, the nature of an oral
examination, noting that students are expected to prepare their own
responses;
(c) inform the student of the main issues that may be raised by the examiners,
noting that the examiners have the right to raise additional questions;
(d) assure the student that the examination is intended to be constructive and
helpful;
(e) to explain the proceedings to the examiners and to the student;
(f) chair the oral examination of the thesis, and any subsequent meeting of
examiners;
(g) provide a report to the relevant committee; and
(h) inform the student about the examiners recommendations.

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 17 of 25

PART 5 – JOINT PHD DEGREES

26 Examination of joint PhD degrees

(1) Where the examination of a joint PhD is to be conducted by the partner institution:
(a) The faculty must notify the HDR Examinations Subcommittee when the
examination commences. This notification must include:
(i) confirmation that the examination meets the conditions of the
individual student agreement; and
(ii) the names and affiliations of all the examiners.
(b) The faculty must notify the HDR Examinations Subcommittee of the
completion of the examination. This notification must include:
(i) a summary of the examination process;
(ii) a statement of the outcome of the award from the partner institution;
and
(iii) copies of the examiners reports and English summaries, where the
language of the reports is in a language other than English
Note: see subclause 11(5) of these procedures.

(2) The HDR Examinations Subcommittee will determine the outcome of the
examination in accordance with the policy, based on the notification from the
partner institution.
(3) Where the examination of a joint PhD is to be conducted by the University of
Sydney, the relevant committee will be the HDR Examinations Subcommittee.
(a) The examination will be conducted in accordance with the policy and these
procedures.
(b) The faculty will notify the partner institution of the outcome of the
examination in writing.
(4) Where a student enrolled in a joint PhD subsequently transfers to a degree solely
awarded by the University, the examination will be conducted according the policy
and these procedures, but the HDR Examinations Subcommittee may approve the
use of any existing examiners’ reports in fulfilment of the applicable requirements.

PART 6 – THESIS WITH PUBLICATIONS

27 Nature of publications to be considered with thesis

(1) Students may include as a publication material that is:
(a) submitted for publication;
(b) under review for publication;
(c) in press; or
(d) published.

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 18 of 25

(2) The thesis must form a cohesive and unified whole.
Note: See subclause 8(1)(e) of the Policy.

28 Method of inclusion of published material in a thesis

(1) Sections of the thesis that have been published previously must be clearly
identified as such.
(2) Published material may also be included as an appendix.
(3) Published papers may be reformatted as long as it is clear that the text in the
thesis is identical to that in the published paper.
(4) If the text of the thesis differs substantially from the published version, the
published material should be included by citation and quotation rather than directly
included in the thesis.

29 Authorship of papers included in a thesis with publications

(1) Previously published material should only be included in the thesis where the
student’s contribution is substantial.
(2) Where a student is an author of a work but had a lesser contribution to the
published work, the paper may be included as an appendix.
(3) Students must clearly indicate their role and the extent of their contribution to the
paper either in the introduction to the thesis or the introduction to the chapter.
Provided that this is done, where more than one of the authors of a work is a
higher degree by research student, each student may include the work as part of
their thesis.
(4) Works with multiple authors should only be included with the permission of the
corresponding author.
(5) Where a student is a joint author of a previously published work, the supervisor or
corresponding author must submit a supporting statement identifying the student’s
contribution to the work covered in the article.
(6) The convention for author placement in the list of contributing authors within the
discipline should be stated e.g. alphabetical, corresponding author first.

30 Examination of a thesis with publications

(1) The examination process is the assessment of the thesis against the criteria set
out in clause 8 of the policy. This examination is a different process than the
refereed assessment of material for publication.
(2) Examiners must address:
(a) whether the thesis including previously published material indicates that the
student has made a substantially original contribution to the knowledge of
the subject concerned; and
(b) for publications where there are multiple authors, whether the quality and
extent of the student’s contribution merits the award of the degree.
(3) As the included publications are examined as part of a larger work, reviewers of
individual papers may be nominated to act as examiners if they meet the criteria
set out in clause 15 of the policy.

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 19 of 25

PART 7 – THESIS CONTAINING CREATIVE OR ARTISTIC
COMPONENTS

31 Examination of a thesis containing creative or artistic

components
(1) The creative work and the written component will be examined as an integrated
whole.
(2) The creative work may be presented in the context of an exhibition, installation,
performance or other in-person context.
(3) Where the creative component is an exhibition or installation, the documentary
record may take the form of a catalogue with images of sufficient quality for
examination.
(4) The student is responsible for creating the documentary record of the creative
work.
(5) Where the examination of a creative work component includes a performance,
installation or exhibition, the written component of the thesis should be provided to
the examiners prior to the examination of the creative component.
(6) Where the examination of the creative work component is in exhibition mode,
examiners should attend in person.
(7) Where there is no performance, installation or exhibition, or where an examiner
cannot attend in person the examiner(s) shall conduct their examination using the
documentary record of the creative work.
(8) Except as otherwise stated in faculty resolutions, the examination of a thesis with a
creative component must comply with procedures, including (where appropriate)
those relating to oral examinations, as determined in Part 4 of these procedures.
(9) The outcomes of the examination for a thesis submitted with a creative or artistic
component must relate to the whole thesis, including the artistic or creative work.
Note: See clause 23 of the policy.

PART 8 – LODGEMENT OF THESES IN LIBRARY

32 Lodgement of theses in the University library

(1) The final copy of the thesis lodged in the University library must be in electronic
format except as permitted by the Chair of the Graduate Studies Committee of the
Academic Board.
(2) The copy must be complete, including:
(a) any appendices submitted for examination;
(b) any published material included in the thesis;
(c) documentary recording of any artistic or creative works; and
(d) any corrections required by the University addressed to the satisfaction of
the chair of examination.

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 20 of 25

(3) The student must provide the title and an abstract of the thesis by the time of
lodgement to be included in the Library catalogue meta-data.
Note: All information on thesis preparation, submission and lodgement is available
through the University website http://sydney.edu.au/students/prepare-your-
thesis.html and http://sydney.edu.au/students/thesis-submission.html.

(4) The student may specify at the time of lodgement whether they prefer their thesis
to be locally available or published to open access. Where a student does not
indicate a preference, the thesis will be lodged in the Library for local access.
Note: All information on thesis preparation, submission and lodgement is available
through the University website http://sydney.edu.au/students/prepare-your-
thesis.html and http://sydney.edu.au/students/thesis-submission.html.

(5) Where a student has been permitted to include an appendix of material that is not
to be available for public inspection as provided by the University of Sydney
(Higher Degree by Research Rule) 2011 (as amended), the appendix must be
lodged separately to the remainder of the thesis in a form prescribed by the
University Librarian.
Note: A student may also apply for a period of embargo on the availability of their thesis.
See University of Sydney (Higher Degree by Research Rule) 2011 (as amended).

(6) The Library catalogue meta-data, including the student’s name, thesis title, and
abstract, must be publicly available.
(7) A student may also opt to publish sections of their thesis as part of their faculty’s
open research collection. For example, this may be used:
(a) where copyright restrictions on published material prevent the open access
publication of the whole thesis; or
(b) where the student opts to publish the written component of the thesis but not
a creative work.
(8) The final copy of the thesis lodged in the Library cannot be altered.
(9) The Chair of the Graduate Studies Committee may approve that an errata notice
be appended to a lodged thesis. The errata notice must:
(a) be clearly distinguishable from the thesis as originally lodged;
(b) be labelled as “errata notice”;
(c) identify the author of the notice;
(d) clearly state the date of the notice; and
(e) list each erratum separately with a page reference, and in page reference
order.

PART 9 – AEGROTAT AND POSTHUMOUS AWARDS

33 Eligibility
(1) Aegrotat and posthumous awards may be made in circumstances involving serious
illness or death.

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 21 of 25

(2) Aegrotat awards:
(a) are made in circumstances where serious illness precludes a student from
making the final submission of the thesis, modifications to the thesis or
resubmission; and
(b) the student or student’s family are required to confirm that they will accept
and aegrotat award prior to any examination.
(3) Posthumous awards:
(a) are made when, at the time of death, the student is considered to have
completed sufficient work that, in the normal course of events, they would
have satisfied requirements for the award; and
(b) should have the support of the deceased student’s family prior to any
examination.

34 Prior to examination
(1) The lead supervisor is responsible for requesting aegrotat and posthumous
awards.
(2) For aegrotat awards, if the student is not well enough:
(a) the lead supervisor will present the student’s work for submission; and
(b) the Associate Dean will have to make the case that there is sufficient
material to prepare a thesis before proceeding to examination.
(3) For posthumous awards, the lead supervisor should:
(a) present the deceased student’s work for submission;
(b) confirm the work as the student’s own;
(c) compile final edits;
(d) provide a declaration on the frontispiece about what they have done to the
thesis since the student’s passing;
(e) provide a brief summary of the research project to aid examiners in the
understanding of the student’s research contribution; and
(f) the Associate Dean will have to make the case that there is sufficient
material to prepare a thesis before proceeding to examination.

35 The examination
(1) Examination for aegrotat and posthumous awards will follow the processes set out
in Part 3 of these Procedures.
(2) For aegrotat awards:
(a) examiners will be informed that the student is seriously ill and unable to
complete the thesis; and
(b) the option of awarding a lesser degree may be considered if the thesis does
not meet the requirements for the degree for which it is being presented.
(3) For posthumous awards, examiners will be advised that:
(a) the student has passed away; and
(b) the only options are ‘award with no corrections’ or ‘don not award’.

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 22 of 25

(4) The examiners’ recommendation will be passed to the relevant committee who will
determine if the thesis fulfils the requirements given in clause 8 of the Thesis and
Examination of Higher Degrees by Research Policy 2015.

36 Conferral of the degree

(1) The decision to confer the degree will be made by the Deputy Vice-Chancellor
(Research) upon the recommendation of the faculty and the determination of the
relevant committee.
Note: See Section 4.26 of the University of Sydney (Delegations of Authority) Rule 2020.

37 Rescissions and replacements

This document replaces the Thesis and Examination of Higher Degrees by Research
Procedures 2015, which are rescinded as from the date of commencement of this
document.

NOTES
Thesis and Examination of Higher Degrees by Research Procedures 2020

Date adopted: 9 June 2020

Date commenced: 1 July 2020

Date amended 8 September 2020 (administrative amendment)

23 November 2020

4 February 2021

1 March 2021

14 September 2021, commencing 21 September 2021

24 April 2023 (administrative amendments)

Current Owner: Pro-Vice-Chancellor (Researcher Training)

Review date: 1 July 2025

Rescinded documents: Thesis and Examination of Higher Degrees by Research

Procedures 2015

Related documents:

Australian Standards for Editing Practice (ASEP) 2nd ed. Point

Cook: Institute of Professional Editors, 2013

University of Sydney (Higher Degree by Research Rule) 2011 (as

amended)

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 23 of 25

 University of Sydney (Delegations of Authority) Rule 2020

Academic Integrity Policy 2022

Dual and Joint Degrees Policy 2019

External Interests Policy 2010

Privacy Policy 2017

Thesis and Examination of Higher Degrees by Research Policy

2015

Higher Degree by Research Degree Supervision Policy 2020

Higher Degree by Research Supervision Procedures 2020

Privacy Procedures 2018

AMENDMENT HISTORY
Provision Amendment Commencing

23(5) ‘Associate Dean’ replaced with ‘chair of examination’ 8 September

2020

23(18)(b) ‘such as a colleague, friend, family member or 23 November

student representative’ inserted between ‘support 2020
person’ and ‘present’

23(18)(b)(i) New subclauses inserted 23 November

and (ii) 2020

23(5)(a) ‘before the thesis is submitted and should be’ 4 February 2021
replaced with ‘when the thesis is ready to be sent to
examiners and’

Part 9 New part added: Aegrotat and Posthumous Awards; 1 March 2021
clauses 33 – 36; subsequent renumbering of
previous clause 33.

6(2) New subclause added 21 September

2021

11(2) Insert ‘For examinations undertaken in the usual 21 September

course’ at beginning of clause. Replace ‘Each’ with 2021
‘each’

11(2A) New subclause added 21 September

2021

16(1)(a) Subclause 8(4)(a) replaced with subclause 8(509a) 21 September

note 2021

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 24 of 25

 Provision Amendment Commencing

5(2)(c) and correction of external hyperlink 24 April 2023

note

8(3) ‘Academic Honesty Procedures 2015’ replaced with 24 April 2023

‘Academic Integrity Procedures 2022’

36(1) ‘Deputy Vice-Chancellor (Education)’ replaced with 24 April 2023

‘Deputy Vice-Chancellor (Research)

Consequential amendments due to organisational

design change

Notes Amended Policy Administrator from Director, 24 April 2023

Graduate Research to Current Policy Owner: Pro-
Vice-Chancellor (Researcher Training)

Related ‘Academic Honesty in Coursework Policy 2015’ 24 April 2023

documents replaced with ‘Academic Integrity Policy 2022’

Thesis and Examination of Higher Degrees by Research Procedures 2020 Page 25 of 25