Handbook for Doctoral Researchers 2010-11-3[1]

8/2/2019 Handbook for Doctoral Researchers 2010-11-3[1]

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Handbook forDoctoral Researchers

2010 / 11

Doctoral SchoolUniversity of SussexDecember 2010


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__________________________________________________________________ Handbook for Research Students 2010/11

1

CONTENTS

1 Introduction 3

2 The Structure of Postgraduate Education at Sussex and Key Sources

of Support for Research Students

4

3 Responsibilities of Research Students and their SupervisorsResponsibilities of research degree students 6

Responsibilities of research degree supervisors 7

4 Registration Matters

Registration procedure for new students 9

Re-registration of current students 9

Registration with other authorities 9

Support arrangements for students with special needs 10

Application for change of status from part-time to full-time or vice versa 10

Continuation status: Application to transfer to Continuation Status 11

Fieldwork 11

Extension of registration period 13

Temporary withdrawal (Intermission) 13

Procedures to change your registration from MPhil to PhD 14

5 Research Progress

Preparation of a research outline 15

Annual Review 15

Monitoring of progress 16

Change of thesis title 17

Change of supervisor 17Exploitation of Intellectual Property 17

6 Examination Matters and Completion

Notice of intention to submit your thesis or portfolio 18

Preparation of your thesis or portfolio for examination 18

Plagiarism, collusion and other forms of misconduct 24

Preparation for the examination 25

Examination process 25

Final binding of theses 27

University Institutional Repository and the British Library 28

Confidentiality 28

Access to Theses 30

Third Party Copyright 30

End-of-programme feedback on your experience as a research student 30

Graduation 31

7 Appeals and Complaints Procedures

Appeals procedures for research degrees 32

General complaints procedures 33

Independent Review 35

Harassment and Bullying 35


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Appendix 1 Criteria for assessment of research degrees at Sussexand extra requirements for the award of the European Doctorate

37

Appendix 2 Quality Assurance Agency descriptors for qualifications

at Doctoral (D) level 39

FormsRF001 Annual Review of Research Students: students report 40RF002 Entry to Research Degree examination 45RF003 Change of Registration status from full-time to part-time or part-time tofull-time

47

RF004 Change of thesis title 49RF006 Fieldwork: proceed to 50RF008 Fieldwork: extend 52


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Introduction

1.1 The purpose of this Handbook is to provide guidance and relevant information to help youthrough the Universitys requirements for your research degree. It is intended to complementhandbooks and other sources of advice that may be available to you at a more local level via

your school and department.

1.2 In addition to this Handbook, it is also important that you familiarise yourself with theregulations for your degree (these can be accessed via the Secretariat website athttp://www.sussex.ac.uk/academicoffice/1-4-9-4.html, or a copy can be requested from yourSchool Office or the Doctoral School). It is recommended that you look through these at theoutset of your studies, and that you discuss any questions you may have with yoursupervisor. You should also be aware of the Universitys Codes of Practice on Research,Intellectual Property and Research Governance and you should consider any relevant mattersarising from these with your supervisor.

1.3 The University has a more general Code of Practice for Research Degree Programmes, themost relevant sections of which are included in this Handbook. Students are recommended to

look at the full text of the code on specific issues (e.g. progress and examination matters), asrequired, which can be accessed via the Doctoral School website.

1.4 Your main point of contact with any issues regarding registration, progress and examinationmatters is likely to be with the Student Progress and Assessment Office (SPA) in SussexHouse. This Office is based on level 3 of Sussex House and the reception desk can belocated by entering the building from the North-South Road opposite the John Maynard SmithBuilding (School of Life Sciences). The office is open from 9.00 to 17.00 Monday to Friday(term-time), 9.00 to 13.00 and 14.00 to 17.00 (vacation). The Student Progress andAssessment Office looks after progress and assessment issues on behalf of the DoctoralSchool.

1.5 In August 2009 a University-wide Doctoral School was created to champion the cause of the

next generation of researchers throughout the University. The Doctoral School coordinatesand enhances the support provided to postgraduate and postdoctoral researchers within theirimmediate discipline. The Doctoral School also oversees the quality assurance, monitoringand evaluation of activities to ensure that the Universitys expectations and standards aremaintained.

1.6 University-level policy regarding research degree matters is normally approved by theDoctoral School Committee in consultation with the Schools and the Research DegreeExamination Board. This handbook is correct, in line with such changes, as of the date below.

If you have any comments or suggestions for changes to future editions of this handbook, pleasecontact [email protected]

Doctoral SchoolDecember 2010


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2 THE STRUCTURE OF SUPPORT FOR RESEARCH STUDENTS ATSUSSEX

2.1 Responsibility for research students rests with the Director of Doctoral Studies within eachAcademic School (these are listed overleaf). The Universitys Doctoral School offers an

institutional framework of activities and additional training and professional developmentopportunities; oversees support within Academic Schools; and takes overall responsibility forpostgraduate research student provision.

2.2 Most day-to-day contact will be at the local level and provided via your School (ordepartment). Your primary source of academic support will be your main research degreesupervisor. In addition, departments may have a person (either the Head of Department orthe Research Convenor) with overall responsibility for research degree students within thatunit. There will be many areas, however, where final approval or authorisation is required bythe Director of Doctoral Studies at the overall School level. A more detailed description of thedivision of responsibilities between School and Department levels is provided in theHandbook for Directors, Convenors and Supervisors, a copy of which will be held by yoursupervisor. Please consult your School website or ask at the School office for clarification.

2.3 To supplement sources of academic support and advice, assistance is available in relation toproblem s or queries of a more personal nature. The Student Life Centre(http://www.sussex.ac.uk/studentlifecentre) in Chichester 1 has specially trained Student LifeAdvisors who are available for general support and guidance, and who can intervene on yourbehalf where problems or difficulties arise. Each school also has a responsible Director ofStudent Support (listed below) who can offer general advice, and if necessary, pursue actionon your behalf.

2.4 The arrangements for general student welfare are set out in the Student Handbook which isavailable at http://www.sussex.ac.uk/studenthandbook/

2.5 The opportunity to acquire relevant skills, not just in order to successfully complete yourthesis, but also to aid your future career development, is recognised as an importantcomponent of your research degree. At Sussex, a programme of courses tailored to meet theskills training requirements of doctoral researchers has been specially developed. In additionto courses designed to assist you with completion of your doctorate e.g. on writing andplanning your thesis, and on preparation for the viva the programme also includes coursesto support development of more general professional development and career managementskills. The Doctoral School researcher development portal -http://www.sussex.ac.uk/doctoralschool/internal/researcherdev - includes details of opportunities currently available, and also offers general advice on assessing your skillsrequirements and matching these with the courses on offer. You should consider with yoursupervisor at the outset of your studies your professional development requirements, andcontinue to review these on a periodic basis as you progress.

Overleaf is a list of Directors of Doctoral Studies, Directors of Student Support and Research& Enterprise Coordinators. You are advised to consult your Research & EnterpriseCoordinator on any administrative issues in the first instance.


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3 RESPONSIBILITIES OF RESEARCH STUDENTS AND THEIRSUPERVISORS

3.1 All research students should be provided at a minimum with a main and additionalsupervisor. In the case of joint supervision, one of the supervisors will be designated as themain supervisor for administrative purposes, and so that you have a clear point of contact inthe event of difficulties.

3.2 An additional supervisor (or the supervisor not designated the main in the case of jointsupervision) should be able to provide advice and support when the main supervisor is notavailable. In the event of loss of a supervisor, your department and school are responsible forfinding a suitable replacement, and ensuring that arrangements are in place to support youduring any interim period.

3.3 Your responsibilities as a research degree student, and the responsibilities of those involvedin your supervision, are outlined in the following two sections.

Responsibilities of research degree students

3.4 The responsibilities that must be observed by research degree students are as follows:

(1) maintaining regular contact with the main supervisor;

(2) discussing with the supervisor/s the type of guidance and comment which will bemost helpful, and agreeing upon a schedule of meetings;

(3) taking the initiative in raising problems or difficulties, however elementary they mayseem;

(4) for the safety of themselves and others, students working in a potentially hazardousresearch environment must take the initiative to ensure that they are competent in

any relevant research techniques to be used;

(5) preparation of a research outline to be approved during the students first year ofstudy;

(6) planning a research project which is achievable within a schedule consistent with thenormal expectations of the relevant Research Council, and maintaining progress inline with that schedule;

(7) maintaining the progress of work in accordance with the stages agreed with the mainsupervisor, including in particular the presentation of written material as required insufficient time to allow for comments and discussion before proceeding to the nextstage;

(8) providing annually a brief formal report to the Director of Doctoral Studies as part ofthe annual review process;

(9) deciding when he or she wishes to submit the thesis, taking due account of thesupervisor/s opinion, which is however advisory only, and of the need to take accountof University requirements regarding the length, format and organisation of the thesis;

(10) taking responsibility for their own personal and professional development;

(11) agreeing their development needs with the main supervisor at the outset of theprogramme, reviewing these on an annual basis, and attending any relevantdevelopment opportunities so identified;


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(12) being familiar with institutional regulations and policies that affect them, including theregulations for their qualification;

(13) being aware of the Universitys Codes of Practice for Research and IntellectualProperty and adhering to the requirements and observing the principles containedtherein.

3.5 A student who considers that his or her work is not proceeding satisfactorily for reasonsoutside his or her control should discuss the matter with the supervisor/s and, failingsatisfaction, with the Director of Doctoral Studies concerned who will advise on any grievanceprocedures. In particular, the student should ask to meet the Director of Doctoral Studies ifthe student feels that he or she is not establishing an effective working relationship with thesupervisor/s, bearing in mind that the alleged inadequacy of supervisory or otherarrangements during the period of study would not constitute grounds for an appeal againstthe result of a research degree examination unless there were exceptional reasons for it nothaving come to light until after the examination, in which case it might be considered.

Responsibilities of research degree supervisors

3.6 The main supervisor is directly responsible in their role as supervisor to the Director ofDoctoral Studies and, through that officer, to the Head of School and then to Pro-Vice-Chancellor (Research).

3.7 The main supervisor is expected to provide the student with advice at every stage in theplanning and conduct of research and in the writing of the thesis and to ensure thatreplacement supervision is available in the event of any significant period of absence. Themore specific responsibilities of the main supervisorare as follows:

(1) to complete an annual report on the students progress for consideration within theframework of the school and/or departments annual review procedures, for latersubmission to the Director of Doctoral Studies;

(2) to provide advice and support to the student on the preparation of a suitablethesis research outline during the first year of their study, in accordance withlocal school and/or departmental level procedures;

(3) if working in a potentially hazardous research environment, ensuring and monitoringthat the student possess adequate technical competence in any relevant researchtechniques, so that he or she presents no undue risk to themselves, others, and/orUniversity facilities;

(4) giving detailed advice on the necessary completion of successive stages of work sothat the whole may be submitted within the scheduled time;

(5) ensuring that the student is made aware of inadequacy of progress or of standards of

work below that generally expected;

(6) identifying prospective external examiners.

3.8 The more general responsibilities of those involved in the students supervision are as follows:

(1) to agree a schedule of regular meetings with the student, in accordance with Schoolpolicy and in the light of discussion of arrangements with the student;

(2) being accessible to the student at other appropriate times when he or she may needadvice;

(3) giving guidance about the nature of research and the standard expected, the planning

of the research programme, literature and sources, attendance at taught classes,


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requisite techniques (including arranging for instruction where necessary), and theproblem of plagiarism;

(4) being familiar with the standard expected of research degree examiners, consistentwith the guidance laid down by relevant Research Councils;

(5) requesting written work as appropriate, and returning such work with constructivecriticism and in reasonable time;

(6) arranging as appropriate for the student to talk about his or her work to faculty orgraduate seminars, and to be well briefed about the procedures involved in oralexaminations;

(7) providing clarification on the guidance or comment that will be offered on thestudents written submissions;

(8) ensuring that the student is aware of the Universitys Codes of Practice for Researchand Intellectual Property and that he or she adhere to the requirements and observethe principles contained therein;

(9) providing training in the ethical, legal and other conventions used in the conduct ofresearch, and supporting the student in the consideration of these as appropriate.

(10) initial assessment, and ongoing review, of the students training and skillsdevelopment needs, in accordance with the joint skills statement of the ResearchCouncils on Skills training requirements for research students, and taking account ofthe training provision available at Sussex;

(11) ensuring that the student is aware of institutional-level sources of advice, includingcareers guidance, health and safety legislation and equal opportunities policy;

(12) maintaining and developing the necessary skills and expertise in order to perform all

facets of the role effectively (including taking up appropriate continuing professionaldevelopment opportunities)


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4 REGISTRATION MATTERS

Registration procedure for new students

4.1 Registration is the formal process of recording the fact that you have become a member of

the University. Once you have registered you will be able to register within your AcademicSchool, attend lectures, receive tuition, sit examinations, and use the Library, Computing andother facilities. Your University registration card also includes membership of the StudentsUnion.

4.2 Only when you have registered do you become entitled to attend courses and use thefacilities of the University.

Re-registration of current students

4.3 It is a requirement of University Regulations that you renew your registration each year toremain a candidate for a degree. By this means the University is able to:

a) ensure you fulfil the minimum period of study required for your degree;

b) obtain information about students who are present in any one year;

c) collect the appropriate fees.

4.4 Details on registration will be sent to you by email in August/September. If you are:

a full-time student, you should register using the online system or, if unable to do so, youshould attend registration in person;

a part-time or continuation student, registration will take place using the online system;

on authorised fieldwork/distant learning study and will not be returning by the beginning ofthe Autumn term, registration will take place using the online system.

4.5 Contact by post. If the University subsequently needs to contact you by letter, mail will be sentas follows:

to a full-time student, through the internal postal system to your pigeon hole address;

to a part-timeorcontinuation student, to your term-time address;

to a fieldwork/distant learningstudent, to your fieldwork address.

Term-Time Address

4.6 Your term-time address should be confirmed when you register, but you should rememberthat any changes of term-time address must be recorded by amending your details via

Sussex Direct. This is important to ensure that we are able to keep in contact with you.

Vacation Address

4.7 You are asked to ensure that your School Office and the Student Progress and AssessmentOffice in Sussex House are notified of any change of address for the vacation. Please makearrangements for a colleague to check your pigeonhole for the post if you are unableto do so yourself.

Registration with other authorities

Health Service

4.8 All students and their dependents may register with the University Health Service.


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Council Tax

4.9 Full-time registered students living in University-managed accommodation are generallyexempt from paying the Council Tax, and the University supplies details of tenants to the localauthority. If you are a full-time student not living in University accommodation we will provideyou with a letter confirming your registration status which you may use to establish your

Council Tax liability with the local authority. International students may wish to consult theirHandbook for further information about the Council Tax.

Part-Time and Continuation Students

4.10 If you are a part-time or continuation student you will not be eligible for exemption or for adiscount. You may, however, still be eligible for the discount on other grounds (e.g. lowincome). You should investigate your eligibility with your local Council Tax Office.

Electoral Registration

4.11 Students living in University-managed accommodation should receive electoral registrationforms automatically; those living elsewhere may not. In all cases the onus is on you to ensure

that you are registered to vote here, if you so wish.

Home Office: Visa extensions

4.12 If you need to apply for a visa extension you should contact the Student Progress andAssessment Office in Sussex house. The Student Progress and Assessment Office willprovide you with the necessary document (a CAS). You should apply in good time and atleast six weeks before your visa expires. If you have any queries regarding visa extensions,please contact the International and Study Abroad Office.

Support arrangements for students with special needs or long-term medical conditions

4.13 If you have a disability or long-term medical condition which you believe may have an impact

on your studies and/or require support, you should get in contact with the Student SupportUnit at the very beginning of your degree, so that a formal assessment can be undertaken.The Student Support Unit will assess what provision can be made to support you during yourstudies, and whether any reasonable adjustments can be made so that you are notdisadvantaged when it comes to your assessment. It will not be possible to make anyadjustments unless a formal assessment has been completed by the Student Support Unit.

Application for change of status from part-time to full-time or vice versa

4.14 If you wish to apply to change your registration status from full-time to part-time or vice versa,you should complete form RF003 available from the Research & Enterprise Coordinator inyour School (see page 6).

4.15 Please note that:

the immigration rules pertaining to students do not normally allow current full-time Overseasstudents to transfer to part-time status;

if you are applying to transfer from part-time to full-time status because you are due to receivefull-time sponsorship, please attach a copy of the award letter to the application form;

if you have completed the required minimum period of registration before making thisapplication for a change of status, your maximum date of registration will not be recalculated.Your maximum date of registration will only be recalculated if you have not yet reached yourminimum date of registration.

4.16 On completion of the form, you should send it to your main supervisor who may recommendto the Director of Doctoral Studies in your school that your registration status be transferred.


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The Director of Doctoral Studies may then approve the transfer of registration status and willinform the Student Progress and Assessment Office. The Student Progress and AssessmentOffice will inform you of the outcome of your application.

Continuation status: Application to transfer to Continuation Status

4.17 If you have completed your research work and are currently writing up your thesis or areabout to complete your research work you may apply to transfer your registration status tocontinuation status.

4.18 An application form for continuation status should only be completed after discussion withyour main supervisor. If you are eligible to apply, an appropriate form will normally be sent toyou with the re-registration details. If you do not receive one, and think that you are eligible,please contact the Student Progress and Assessment Office.

4.19 Such transfer of registration status will take effect from the beginning of the term for whichyou wish to be registered as a continuation student.

4.20 Very substantial progress towards completion must have been made in order for

continuation status to be granted. For PhD students, continuation status is notnormally approved before the completion of three years full-time study or five yearspart-time study.

4.21 If you are permitted to register on continuation status it is on the understanding that you willonly have limited access to University facilities in order to complete your studies. Because areduced fee is charged you will notbe entitled to:

attendance at seminars, classes or tutorials;

use of work-rooms, laboratories or similar facilities;

close or regular contact with supervisors;

University accommodation or membership of, or election to, University Committees;

use of a study space or locker;

social facilities of the University, other than the Careers and Employability Centre(CEC).

4.22 You will continue to receive the same level of use of facilities of the Library and ComputingService up to your maximum date of registration. The Library will advise you in writing of theborrowing arrangements shortly after receiving a copy of the formal letter from the StudentProgress and Assessment Office approving your change of status to continuation. TheComputing Service will advise you by e-mail.

4.23 The Students Union will be supplied with your name so that it may determine yourmembership and the appropriate subscription.

4.24 Once you have completed the form, you should pass it to your main supervisor who mayrecommend to the Director of Doctoral Studies in your school that you may be permitted totransfer to continuation status with effect from a specified Term. The Director will make thefinal decision. The Student Progress and Assessment Office will let you know the outcome ofyour application.

Fieldwork

Application to undertake fieldwork or to study away from the University

4.25 You may be permitted to carry out research elsewhere in the interests of your academic workproviding that you spend at least half of your minimum prescribed period of registration as aresearch student at the University, (the minimum prescribed period of registration for theMPhil Degree is three terms for a full-time student and six terms for a part-time student; andfor the PhD Degree it is six terms and nine terms respectively. These periods do not includeany period of coursework).


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4.26 You may not proceed to fieldwork unless:

(i) your thesis title and research outline/research topic have been submitted andapproved;

(ii) you have received notification in writing from the Student Progress and Assessment

Office confirming that permission has been granted for you to proceed to go onfieldwork.

If you are attending a Research Skills Course as a compulsory requirement for your studiesyou must have completed this course before going on fieldwork.

4.27 The general expectation is that 100% of the relevant fees will normally be paid. With respectto periods away on fieldwork, however, a discount of 35% (i.e. 65% of the full fee) may beagreed, subject to the approval of the Director of Doctoral Studies. Such a discount will onlybe approved in exceptional circumstances, and only where a clear case can be made on thebasis of restriction of access to Sussex facilities (other than supervision) i.e. that you will nothave access to the standard facilities, infrastructure and support network that would normallybe available to you.

Please note that fees are adjusted as above in termly units only, or where the majority of thenumber of weeks in a term are spent on fieldwork. All fees are calculated in termly units andtherefore periods spent on fieldwork during vacation periods are not counted in the feeadjustment calculation.

4.28 You are required to inform the Student Progress and Assessment Office of your address forcorrespondence during your absence, and any subsequent change of address.

4.29 You must contact the Research & Enterprise Coordinator in your School Office to makearrangements with regard to your work space, if appropriate.

4.30 You are required to maintain regular contact with your supervisor(s) on your progress, in

accordance with the arrangements approved by your School.

Application Procedure

4.31 If you wish to apply for permission to undertake fieldwork or to study away from the Universityyou should complete form RF006 which is available from the Research & EnterpriseCoordinator in your School Office.

4.32 You should pass your completed form to your main supervisor who may recommend to theDirector of Doctoral Studies in your School that you be permitted to undertake fieldwork orstudy away from the University. The Director of Doctoral Studies in your School may thenapprove your application and will determine the fee that you will be charged.

4.33 The Student Progress and Assessment Office will inform you of the Directors decision.

Application to extend your period of fieldwork or period of study away from the university

4.34 If you wish to extend your period on fieldwork or study away from the University you shouldcomplete form RF008 which is available from the Research & Enterprise Coordinator in yourSchool Office.

4.35 You should send your completed form to your main supervisor who may recommend to theDirector of Doctoral Studies in your school that you be permitted to extend fieldwork or studyaway from the University. The Director may then approve your application and will determinethe fee that you will be charged.

4.36 The Student Progress and Assessment Office will inform you of the Directors decision.


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Return from fieldwork or study away from the University

4.37 On return from your fieldwork or study away from the University, you are required to notify theStudent Progress and Assessment Office in Sussex House that you have returned and toprovide your new term-time address by amending Sussex Direct.

Extension of registration period

4.38 In exceptional circumstances you may request an extension to your period of registration pastyour maximum period of registration (the maximum period of registration for the MPhil is threeyears for a full-time student and four years for a part-time student; the maximum period ofregistration for the PhD is four years for a full-time student and six years for a part-timestudent; the maximum period of registration for the EdD and DSW is six years). You mayapply for an extension of one, two or a maximum of three terms.

4.39 Your request for an extension should be made to the Director of Doctoral Studies in yourschool to whom you should supply the following information:

a statement setting out the reason for the request for an extension;

a statement of the current progress of your research and writing-up;

a timetable for the completion and submission of your thesis;

any documentary evidence in support of the request;

a statement of support from your main supervisor;

4.40 The Director of Doctoral Studies should complete the standard form reporting their decision tothe Student Progress and Assessment Office. The Student Progress and Assessment Officewill then send you a formal letter informing you of the Directors decision.

4.41 Any extension granted will constitute a final period of registration. Only in exceptionalcircumstances will you have a further opportunity to submit an application to the Director ofDoctoral Studies.

4.42 If the Director does not agree to grant you an extension, you will be required to withdrawon academic grounds, that is, you will no longer be a candidate for a University of Sussexdegree once your maximum period of registration has been reached.

Temporary withdrawal (Intermission)

4.43 If you wish to apply for a period of temporary withdrawal you should consult your mainsupervisor. If your supervisor supports your request then your supervisor will make arecommendation to your Director of Doctoral Studies. The final decision rests with theDirector of Doctoral Studies. You must complete the relevant form which is available from theResearch and Enterprise Co-ordinator in your School Office.

4.44 The Director of Doctoral Studies will notify the Student Progress and Assessment Office ofthe final decision.

4.45 Please note that applications for intermission should be made in good time, preferably inadvance. An application to intermit will only be accepted in advance, or within the current termof study. Retrospective intermission for terms already completed will not be permitted.

4.46 You should note that temporary withdrawal (intermission) is not a right and the University mayset conditions for your return.


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4.47 The Student Progress and Assessment Office will write to notify you of the outcome.

Procedures to change your registration from MPhil to PhD

4.48 If you wish to apply to change your registration from MPhil to PhD you should consult your

main supervisor. Your supervisor will advise you about the approved procedures in placewithin your school or department.


4.50 If you are refused permission to change your registration from MPhil to PhD and consider thatthe decision was based on inadequate evidence or taken in an improper manner, you havethe right to appeal against that decision by writing to the Registrar & Secretary within 21 daysof notification of the decision (see sections 7.2 to 7.10 below on how to appeal).


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5 RESEARCH PROGRESS

Preparation of a research outline

5.1 In accordance with School procedures, you are required to prepare a research outline duringyour first year of study which sets out the overall plan, objectives and timetable for your

research. It is recommended practice that your research outline and proposed thesis titleshould be confirmed as part of your annual review process at the end of your first year, beforebeing formally approved by the Director of Doctoral Studies.

Annual Review

Student Report

5.2 Your research progress is reviewed annually and is an important process. The reviewprocess is intended principally as a means to review your progress, though it does alsoprovide an opportunity to draw attention to any problems you may be experiencing, or anyareas where you might be better supported by your department or school.

5.3 You will be asked to complete a report outlining your progress and return it to your SchoolOffice (see form RF001 in the Appendices for a template). The report should provide detail inthe following areas:

the current stage of your research and the production of your thesis. You should relate thisaccount to the plans given in your research outline, explaining any changes from those, andindicating the most recent developments. If you are on fieldwork, or have completed it in thepast year, you should outline its successes and problems;

any special problems in your research which might need access to further specialised adviceor resources;

whether your work has been significantly impeded by any non-academic factors or if youexpect it to be so in the next few months;

how many times you have been in contact with your supervisor and whether that has beensatisfactory;

whether you feel that you have been receiving adequate and appropriate feedback andadvice;

any courses or training you have undertaken in the past year and whether there are anyfurther requirements that you feel you need;

your funding arrangements;

when you realistically expect to submit your thesis;

any other factors that you would like to draw to the attention of the Director of DoctoralStudies.

5.4 You will be asked to return the report to your School Office by the date specified.

5.5 You will be asked whether or not you wish your supervisor to have a copy of the report.

Supervisor's Report

5.6 Your main supervisor will also be asked to complete a report which details:


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whether you are making generally satisfactory progress in accordance with the plans in yourresearch outline;

your relationship with your supervisor and whether you have kept in touch adequately;

when your supervisor realistically expects your thesis to be submitted;

whether, in your supervisors opinion, there is any risk that you will not submit by the end ofthe official maximum period of registration. Your supervisor will be asked whether it is likelythat you will complete by the four-year deadline;

whether any non-academic factors may have impeded your work sufficiently to make a casefor intermission;

whether your supervisor thinks that you need any specialist training, advice, or specialresources;

any problems identified and the solutions to rectify those problems;

5.7 Your supervisor will discuss their report fully with you; if you are on fieldwork or oncontinuation status, this may be difficult but the contents will be conveyed to you so that youknow your supervisors views, and are given the opportunity to comment if you wish.

5.8 Your supervisor will return the report to the relevant departmental source, for subsequentonward transmission to the Director of Doctoral Studies.

Annual Review meeting

5.9 You are required to attend a formal annual review meeting with a member of facultynominated by the Director of Doctoral Studies who is not your main supervisor, although yoursupervisor(s) may also attend with the agreement of the Director of Doctoral Studies. Themeeting is to discuss your academic progress and may include an academic defence of thesubject matter of the thesis.

5.10 Subsequent to the annual review meeting, a recommendation will be made to the Director ofDoctoral Studies on your registration status for the following academic year.

5.11 The Director of Doctoral Studies will be required to confirm (a) that all reports have been dulycompleted by both the student and the supervisor, (b) that the annual meeting has takenplace and (c) the decision has been taken on your registration for the following academicyear.

5.12 If your progress is not deemed to be satisfactory, your registration may be transferred fromPhD to MPhil or you may be refused permission to register in the following academic year.

Appeal

5.13 If you have been refused permission to re-register and consider that the decision was basedon inadequate evidence or taken in an improper manner, you have the right to Appeal againstthat decision by writing to the Registrar & Secretary within 21 days of notification of thedecision (see sections 7.2 to 7.10 of this handbook on how to appeal).

Monitoring of progress

5.14 The Code of Practice for Research Degree Programmes (4.3) advises that At a minimum,there should normally be at least one formal meeting each month (or equivalent) between thesupervisor and student with the exception of those students away on fieldwork or studying at

a distance. This policy should be adjusted suitably for part-time students.


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5.15 Your School will apply procedures to ensure that your attendance at supervisions ismonitored on a termly basis. The Director of Doctoral Studies will oversee this process withinyour School. In the event that non-attendance continues without adequate explanation orresolution and unsatisfactory progress is therefore occurring, your case would be reviewedby the Director of Doctoral Studies to consider formal action, possibly culminating inwithdrawal.

5.16 Supervisory meetings will be formally recorded on your student record, and may be viewed byyou through Sussex Direct. There should be at least one record per term logging allsupervisory sessions (i.e. there will not necessarily be a separate entry for each supervisorysession). The record will show meeting dates, a note of topics covered and key outcomesfrom such meetings. It is recommended good practice that you keep your own written recordof formal meetings between you and your supervisor/s, to include progress achieved andtargets set to further your research.

Change of thesis title

5.17 If you wish to change the title of your thesis, you should consult your main supervisor. If your

supervisor agrees, you should complete form RF004 available from the Student Progress andAssessment Office in Sussex House and pass it to your supervisor who will countersign it andpass it to the Director of Doctoral Studies in your school with a recommendation to changethe title of your thesis. The final decision rests with the Director of Doctoral Studies.


Change of supervisor

5.19 If you wish to request a change of supervisor you should first consult with your ResearchConvenor or Director of Doctoral Studies (or Head of School if either is involved as main orsecond supervisor). The Director of Doctoral Studies (or Head of School) may then approve achange and will inform the Student Progress and Assessment Office.


Exploitation of Intellectual Property

5.21 University of Sussex, through Research & Enterprise Services, is committed to identifying,protecting and commercialising the new technologies, processes, and other knowledge thatarise as a consequence of the research at the University. The policy relating to IP is availablehere: http://www.sussex.ac.uk/res/documents/ipcode.pdf.

5.22 The University claims ownership of the IP created by University staff, as an employer isentitled to the rights in the work of its employees during the normal course of their duties.Students, however, normally own the IP in their work, as they are not employees. A student isthen free to use those rights as they choose. However, those rights may not be usablewithout access to the Universitys IP, and hence they may require agreement with theUniversity, or be best exploited through the Universitys mechanisms.

5.23 Under certain circumstances, a student engaged in research that is the subject of a Universitycommercialisation project, or where an external funder has reserved rights, may be asked toassign IP to the University or to the funder. In this case, the student would be treated in thesame way as a member of staff, and if the commercialisation of the IP generates a profit, thestudent will receive a share in exactly the same way as staff are rewarded.

5.24 If you think you have a new idea or technology that has commercial potential, get in touchwith Research & Enterprise they can clarify ownership of the idea or technology, provideadvice about the commercial potential of your idea or technology, and may also be able to

offer advice to support the commercialisation process.


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6 EXAMINATION MATTERS AND COMPLETION

Notice of intention to submit your thesis or portfolio

6.1 You must give the Student Progress and Assessment Office at least two months prior noticeof your intention to submit your thesis or portfolio by completing the form Application for Entryto the Research Degree Examination RF002 which is available from the Student Progressand Assessment Office. You should attach a copy of your summary to the form (see sections6.25 to 6.26 below for a description of what the summary should consist of).

6.2 Your main supervisor will be required to sign the form to confirm that the prescribed study forthe degree has been completed.

6.3 When you submit your thesis or portfolio to the Student Progress and Assessment Office, youwill be reminded that you must be registered at the time of submission and asked to confirmthat this is the case.

6.4 The Student Progress and Assessment Office will inform you whether your application forentering the examination has been accepted.

Preparation of your thesis or portfolio for examination

Number of copies required

6.5 You should submit THREE temporary bound copies of your thesis. The thesis should bebound in a soft cover with an adhesive spine and should NOT be presented in spiral bindingor have holes punched in the thesis (with the exception of portfolios of Musical Compositions,which should be in spiral binding). You will be issued with a receipt. If you are unable tosubmit by the date given, you should so inform the Student Progress and Assessment Office.

6.6 For students who need to submit copies of their thesis by post, these should be mailed to

Penny King, Student Progress and Assessment Office, Sussex House, University of Sussex,Falmer, Brighton, BN1 9RH.

Temporary binding

6.7 The THREE hard copies should be submitted in temporary binding as follows:

Thesis - the pages of the thesis should be held together in a soft cover by an adhesive spineand should not be stitched or have holes punched in them.

The University Library does not currently provide an adhesive spine binding facility. However,there are local options for binding including:

The University of Brighton: Reprographics, G4a Ground Floor, Cockcroft Building,Moulsecoomb, Brighton BN2 4GJ; Telephone: 01273 642790

Bookbinders of Lewes, Star Brewery, Castle Ditch Lane, Lewes BN7 1YJ; Telephone:01273 486718; www.bookbindersoflewes.co.uk

Portfolio of musical compositions - a portfolio of musical compositions and associatedcommentary should have a spiral binding.

Language of thesis or portfolio

6.8 The thesis or portfolio, apart from quotations, should be written in English. Submission of athesis in a language other than English may be approved by the Doctoral School Committeein exceptional circumstances.


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Length and format of thesis or portfolio

6.9 The figures below for the maximum word length of theses include footnotes and bibliographybut exclude any appendices. The particular requirements for your thesis or portfolio are asfollows:

General word length for the Master of Philosophy and Doctor of Philosophy themaximum word length for PhD theses shall be 80,000 words, and for MPhil theses shall be40,000 words except in the following subjects, where no such limits are specified:

BiochemistryBiologyChemistryEngineering and DesignEnvironmental ScienceInformaticsMathematicsPhysics & Astronomy

SPRU: Science & Technology Policy Research

Summary word length for the Master of Philosophy and Doctor of Philosophy themaximum word length for the summary section for both PhD and MPhil theses shall be 300words except in the subjects of Education, Music-Theatre Performance, Creative Writing andMedia Practice where the limit shall be 600 words.

Musical Composition in the case of the MPhil taken by musical composition the portfolio ofcompositions shall contain at least one substantial composition and one or more shortercompositions. The substantial composition should be scored either for larger ensemble or forsmaller forces in which case it should exceed 15 minutes in duration. The associatedcommentary shall be between 3000 and 5000 words in length. In the case of the PhD takenby musical composition the portfolio of compositions shall contain at least one large-scale

work and a number of smaller compositions. The large-scale work should be scored eitherfor large ensemble or for small ensemble in which case it should exceed 30 minutes induration. The associated commentary shall be between 8000 and 10,000 words in length.

Music-Theatre Performance - the thesis will consist of either a substantial performance

work, or a performance work with a portfolio of compositions or other creative work. Theperformance may involve any media or disciplines in combination with music, and may or maynot involve the student him or herself. The performance work must be documented on DVD,which must be submitted with the critical commentary. The performance and portfolio (whererelevant) must be accompanied by a written critical and theoretical commentary. For theMPhil (PhD) the discursive or critical written component of the thesis will be between 10,000(20,000) and 20,000 (40,000) words in length. The summary for both the MPhil and the PhDshall not exceed 600 words.

Creative Writing the thesis will be an original piece of creative writing and research. TheMPhil shall be no more than 40,000 words in length and the PhD no more than 80,000 words.Many creative writing theses will consist of a creative component, in any recognised genre ofcreative writing, together with a related critical study, with the critical component occupying noless than 20% and no more than 80% of the total word length. Where poetry is the chosengenre, the creative component will be a book length manuscript and the critical componentwill be no less than 25,000 words (MPhil) or 50,000 words (PhD). However, the thesis mayalso be presented in such a way that the creative and critical components are interwoven tocreate a distinctive whole. In this instance, the creative and critical components may be seen,for example, as two different but interdependent responses to the same topic; or the creativecomponent may arise out of the critical component (or vice versa) and be a vehicle forexploring it further. In either case, the summary for both the MPhil and the PhD shall notexceed 600 words. All students registered from 2008/9 will be examined under thisregulation; students registered prior to 2008/9 will also be examined under this


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regulation, except those who have chosen poetry for their creative component, whowill be examined under the corresponding regulation for creative writing as stated inthe 2007/8 version of the Ordinances and Regulations.

Media Practice the thesis will consist of a portfolio of creative work in either video or digitalimaging or photography or interactive media or sound or any other digital media or

combination of media. The work may incorporate live performance and installation in whichcase these elements must be documented in retainable forms, such as videos, scripts andplans, that are approved by the supervisor(s). The creative work must be accompanied by adiscursive or critical written component. For the MPhil (PhD) the discursive or critical writtencomponent of the thesis will be between 10,000 (20,000) and 20,000 (40,000) words inlength. The summary for both the MPhil and the PhD shall not exceed 600 words.

Doctor of Education and Doctor of Social Work not normally exceeding 45,000 words forthe thesis element. The summary for both the Doctor of Education and Doctor of Social Workshall not exceed 600 words.

Presentation of your thesis

6.10 It is essential that your thesis is presented for examination in a complete form. It is clear fromexaminers' reports that this is frequently not the case. At best this means that the work is notpresented to the examiners in a good light. At worst it may mean that the examiners areunable to assess the academic work properly and have no choice but to recommend a majorrevision or even failure. Submission of theses in an incomplete or poor form has played asignificant part in failure of a thesis on a number of occasions during the past few years.Although you may be offered the opportunity to resubmit, this involves further expense and agreat deal of additional time and effort on your part, and the risk that the revised thesis will stillnot be acceptable, in which case failure will follow; a second resubmission is not permitted.

6.11 To ensure that this does not happen to you, it is essential to check your thesis very carefullybefore submitting it. The following are some of the things to check, though this does notinclude subject-specific aspects such as statistical analyses, formulae or quotations. Your

supervisor/s can provide further advice. Check that:

6.11.1. All chapters/sections are present and complete, correctly numbered and in the correctorder.

6.11.2. Tables of contents, etc. are present and correct.

6.11.3 All Figures and Tables are present, inserted in the correct place, have an appropriatetitle and legend where necessary, and are in final form (not rough drafts!) andappropriately numbered. A minimum font size of not less than 9 is suggested afterinsertion of a Figure into the main text of the thesis.

6.11.4. The text has been carefully checked to remove typographical, spelling and

grammatical errors. Of course, complete elimination of such errors is very difficult,and insertion of a few corrections at a later stage is usually allowed, but a largenumber of errors gives a very bad impression, and more than one error per page isnot considered acceptable.

6.11.5. The bibliography is presented in an acceptable format (consult your supervisor),references are cited accurately, and every reference cited in the text is given in thebibliography and vice-versa.

6.11.6. All pages are present and correctly numbered and located.

6.12 Many students have retained the services of a proof reader or editor in completing a draft oftheir thesis.


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Format of the thesis or portfolio

6.13 The approved format of your thesis or portfolio is as follows:

Paper: A4 and of good quality. Students in countries where A4 paper is difficult to source

can submit on US Letter sized paper (NB: there is no size restriction on drawings, map andsimilar documents);

Typeface: the typeface should be clear and easy to read

Printing: on one side of the paper only;

Spacing: double or one-and-a-half line-spacing being used for the main text (except forindented quotations or footnotes where single line-spacing may be used);

Margins: the left-hand-side should be 4cm. The top and bottom margins should be 2.5cmdeep. The right hand margin should be 2cm.

Pagination

6.14 Pages should be numbered consecutively through the main text, excluding photographsand/or diagrams which are not embodied in the text.

6.15 Page numbers should be located centrally at the top of the page.

6.16 Any photographs or diagrams not included in the text shall be indexed separately byreference to the page which follows it.

Title page

6.17 The title page should give the following information:

(i) the full title of the thesis and the sub-title if any;(ii) the full name of the author;(iii) the qualification aimed for;(iv) the name of the University of Sussex;(v) the month and year of submission.

Table of contents

6.18 A table of contents should be included in the thesis. It shall list in sequence with the pagenumbers, all relevant sub-divisions of the thesis, including the titles of chapters, sections andparagraphs as appropriate, the bibliography, the list of abbreviations and other functionalparts of the thesis, any appendices and the index (if provided).

6.19 Drawings, maps and similar documents should preferably be included with the text, but may,if necessary, be submitted in a portfolio lettered in similar fashion to the text.

Bibliography

6.20 A composite bibliography shall be presented at the end of the thesis after the main text andbefore any appendices. Individual bibliographies for sub-divisions of the thesis should not beemployed. The composite bibliography shall either be numbered consecutively, as far aspossible, in the same order as references appear in the text (with numbers only in the text) orbe placed in alphabetical order of authors, sub-divided chronologically by year of publication(with authors' names and years of publications in the text). In the latter case publications inthe same year by the same author(s) shall be distinguished in the bibliography and the text by

letters in alphabetical sequence (e.g. 1979a, 1979b).


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Acknowledgements

6.21 In the introduction to your thesis, you should set out the sources of your information, such asparticular libraries, archives, organisational records, private papers and department files. You

should also set out the plan of your research procedures, indicating what general categoriesof persons you interviewed and you should indicate any special conditions of access toinformation.

Statement

6.22 Your thesis or portfolio must include a signed declaration which must be bound into the thesisor portfolio after the title page which states that:

the thesis or portfolio, whether in the same or different form, has not been previouslysubmitted to this or any other University for a degree (unless you are re-submitting the thesisor portfolio for re-examination);

details the extent of material already submitted as part of required coursework at anyuniversity and the award, if any, obtained as a result. You may be required to produce thatoriginal material;

in a preface to the thesis or portfolio, the sources from which the information has beenderived and, if any part of the thesis or portfolio results from joint work with other persons, theextent to which the thesis or portfolio has drawn on the work of those others and the portion ofthe thesis or portfolio which you claim to be your own original work.

Incorporation of your published work

6.23 You may incorporate, as an integral part of the thesis, any of your work published before the

submission of the thesis, provided that the greater proportion of the work for the thesis hasbeen carried out after registration for the degree and under supervision. Publications relatingto work described in the thesis may be submitted as supporting material.

Examples of standard statements are provided overleaf:


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EXAMPLE 1 WORK SUBMITTED ELSEWHERE FOR EXAMINATION

I hereby declare that this thesis has not been and will not be, submitted in whole or in part to anotherUniversity for the award of any other degree. However, the thesis incorporates to the extent indicatedbelow, material already submitted as part of required coursework and/or for the degree of:

...................................................................................................................................................

In ................................................................................................................................... (subject)

which was awarded by ..............................................................................................................

.................................................................................................................................(institution)

...................................................................................................................................................Signature:

EXAMPLE 2 WORK NOT SUBMITTED ELSEWHERE FOR EXAMINATION

I hereby declare that this thesis has not been and will not be, submitted in whole or in part to anotherUniversity for the award of any other degree.

Signature:


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Summary

6.24 You must include a summary in each of your temporary bound thesis or portfolio which maybe single spaced. You must also submit one further summary in loose leaf form. Each copyshould appear on a separate sheet of A4 paper and each must be separately printed (i.e. theyshould not be photocopies). The summary must not exceed 300 words except in the following

subjects:

Education/Social Work - not exceeding 600 words.

Music-Theatre Performance not exceeding 600 words

Creative writing not exceeding 600 words

Media Practice not exceeding 600 words

6.25 The summary should provide a convenient synopsis of the thesis and should state clearly thenature and scope of the research undertaken and contribution made to the knowledge of thesubject treated. There should be a brief statement of the method of investigation whereappropriate, an outline of the major divisions or principal arguments of the work and asummary of any conclusions reached.

Summary heading

6.26 Each summary should include a heading set out in the following style:

UNIVERSITY OF SUSSEX

YOUR FULL NAME DEGREE FOR WHICH THE THESIS OR PORTFOLIO IS SUBMITTED

TITLE OF THESIS OR PORTFOLIO

SUMMARY

Plagiarism, collusion and other forms of misconduct

6.27 It is an offence for any student to be guilty of, or party to, collusion, plagiarism or any otherform of misconduct in an examination or work which is submitted for assessment. It is also anoffence to commit any form of misconduct during the course of your research.

6.28 The main types of misconduct are defined as follows:

Plagiarism - plagiarism is the use, without acknowledgement, of the intellectual work of otherpeople, and the act of representing the ideas or discoveries of another as ones own in writtenwork submitted for assessment. To copy sentences, phrases or even striking expressionswithout acknowledgement of the source (either by inadequate citation or failure to indicateverbatim quotations), is plagiarism; to paraphrase without acknowledgement is likewiseplagiarism. Where such copying or paraphrase has occurred the mere mention of the sourcein the bibliography shall not be deemed sufficient acknowledgement; each such instance mustbe referred specifically to its source. Verbatim quotations must be either in inverted commas,or indented, and directly acknowledged.

Fraud - deliberate deception, usually involving the invention of data or the fabrication ofresults or observations. It does not include unintentional error or professional differences ininterpretation or judgement of data.

Collusion - collusion is the preparation or production of work for assessment jointly withanother person or persons unless explicitly permitted by the examiners. An act of collusion isunderstood to encompass those who actively assist others as well as those who derivebenefit from others work. Where joint preparation is permitted by the examiners but jointproduction is not, the submitted work must be produced solely by the candidate making the


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submission. Where joint production or joint preparation and production of work forassessment is specifically permitted, this will be stated explicitly in the relevant coursedocumentation.

Interference - intentional damage to, or removal of, the research-related property of another.

Non-compliance with requirements governing research - intentional non-compliance with theterms and conditions governing the award of external funding for research or with theUniversitys policies and procedures relating to research, including accounting requirements,ethics, and health and safety regulations.

6.29 Allegations or complaints of misconduct committed by research students will be investigatedby the appropriate authority, depending on the timing and nature of the allegation. Where astudent is found guilty of misconduct, a range of penalties may be applied, up to and includingdisqualification from eligibility for the award for the most serious offences.

6.30 At the time you submit your thesis, you will be asked to sign a statement to confirm that youunderstand the definition of plagiarism and that the sources used in your thesis have beenfully acknowledged (see form RF002 on page 45).

6.31 If an examiner/s reports misconduct in a thesis after you have submitted it for examination,and if there is sufficient evidence to warrant further investigation, you will be called to aseparate viva-voce examination to consider the alleged misconduct, in advance of theacademic viva-voce examination. The viva-voce examination to consider the misconduct, willbe conducted by the internal and external examiners appointed to examine your thesis.

6.32 In the event that the recommendation following the misconduct viva-voce examination is thatyou should be disqualified for eligibility for the award of the degree, you will not normally beoffered the opportunity to attend an academic viva-voce examination. The detailedprocedures for the consideration of alleged misconduct by research students are provided inthe Handbook for Directors, Convenors and Supervisors.

Preparation for the examination

6.33 The prime source of support in your preparation for the viva is your main supervisor, withinput from your second supervisor desirable. You will be formally offered (by your supervisor)the opportunity to have a mock viva. Workshops on preparation for the viva are normally runlocally at school or departmental level; contact your Director of Doctoral Studies for furtherinformation.

Examination process

6.34 Your thesis will be examined by at least one internal and at least one external examiner. Onecopy of your thesis or portfolio will be sent by the Student Progress and Assessment Office toeach of your examiners and the remaining copy will be kept in the Student Progress and

Assessment Office.

6.35 You will be required to attend a viva voce examination in defence of your thesis or portfolio.The internal examiner will contact both you and the external examiner to arrange a mutuallyconvenient time to hold the examination. You are advised that if you refuse to agree a time, orif you do not attend at the agreed time, you risk failure of the examination and the examinerswill have the right to go ahead and conduct the examination and make a recommendation tothe Examination Board, on the basis of the evidence before them, i.e. the thesis alone.

6.36 Your supervisor may be invited by the examiners to attend your viva-voce examination. Thisrequires your agreement. If a supervisor does attend a viva-voce examination they shouldonly contribute to the discussion if directly addressed by the examiners.

6.37 If anyone additional attends at a viva-voce examination as an observer this must be approvedby the Director of Doctoral Studies in the relevant school and on the condition that they play


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no part in the examination. Your consent must be obtained, and the rationale for theadditional person attending must be clearly explained to you in advance, and confirmed at theoutset of the viva.

6.38 Where it is school or departmental level policy, or where there are particular circumstancesthat warrant it, an independent chair may be employed at your viva-voce examination. Where

this is the case, you will be notified in advance.

6.39 The examination is normally held approximately 2-3 months after the time of submission ofthe thesis. You should inform the Student Progress and Assessment Office at the time ofsubmission if you will be unavailable for any period of time to attend such an examination (orof any anticipated changes in the details of where you should be contacted).

6.40 After your viva voce examination, the examiners will return their copies of your thesis orportfolio to the Student Progress and Assessment Office.

Basis of assessment

6.41 In order to decide whether you have met the required standard for the degree for which you

are being examined, your examiners will be guided by the assessment criteria for your degree(see Appendix 1 at the end of this Handbook). They will also take into account the doctoral-level qualification descriptors produced by the Quality Assurance Agency, which specifystandards and characteristics that are expected of those who are awarded doctoral-levelqualifications (see Appendix 2).

Notification of examination result

6.42 After your viva voce examination, the Student Progress and Assessment Office will informyou, in writing, of the recommendation made by the examiners to the Examination Board. Thisrecommendation is subject to consideration by the Research Degree ExaminationBoard/Professional Doctorates Examination Board and ratification by the Chair of the DoctoralSchool Committee on behalf of Senate.

6.43 You should note that the only definitive notification of the outcome of your examination is fromthe Student Progress and Assessment Office. Any informal indication by your examiners ofyour performance is not definitive.

Successful attainment of the award

6.44 If the examiners recommend that you be awarded the degree unconditionally, the threecopies of your thesis or portfolio being held by the Student Progress and Assessment Officewill be returned to you under the procedures in section 6.48 below. You will then be requiredto submit one hard copy of your thesis in the approved style for final binding (see sections6.50 to 6.55 below) and one electronic (.pdf) copy.

Revision and re-submission of a thesis or portfolio (including corrections)

6.45 If you are required by the Examination Board to revise and resubmit your thesis or portfolio forre-examination (i.e. that you have not met the standard required for the award at the firstattempt), the Student Progress and Assessment Office will inform you in writing of therecommended revisions and of the date by which your thesis or portfolio must be resubmitted.In the case of revision and resubmission you will be asked to confirm your acceptance of thedecision of the Examination Board and pay any appropriate fees. You should consult yoursupervisor regarding the recommended revisions but you must not communicate with theexaminers during the period of revision.

6.46 If your thesis or portfolio is referred for corrections only, the Student Progress andAssessment Office will return two copies to you and will retain one copy. You will not be

required to pay a fee.


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6.47 Once you have resubmitted your thesis for re-examination, you will not be able to revert to theoriginal offer made by the Examination Board after your original examination.

Unsuccessful candidates

6.48 If you are unsuccessful in your examination, two copies of your thesis will be returned to you

and the University will retain one copy of the thesis which shall become the property of theUniversity.

Return of theses

6.49 The Student Progress and Assessment Office will return to you any copies of your thesis orportfolio being held in the Student Progress and Assessment Office by one of the followingmethods:

in person from the Student Progress and Assessment Office;

by recorded delivery (if you live in the United Kingdom);

by registered surface mail or by insured mail (if you live outside the United Kingdom).

6.50 The Student Progress and Assessment Office cannot take responsibility for the safe passageof theses through the mail. The Student Progress and Assessment Office will be happy tomake alternative arrangements for you but at your own expense. You are most stronglyadvised to retain a copy of any work submitted for examination.

Final binding of theses

6.51 On successful completion of the examination process you must submit ONE electronic (.PDF)copy of your thesis or portfolio and ONE copy of your thesis or portfolio bound in theapproved style.

6.52 IT Services have several electronic guides that relate to creating and managing PDFs. Thefollowing, available on the ITS website (http://www.sussex.ac.uk/its/help/) are most useful forpreparing your thesis:

FAQ 729 How do I create a PDF file?FAQ 1651 How can I merge one or more PDFs into a single file?

6.53 The outside front board shall bear the title in gold lettering of the work in at least 24 pt type.If the title is of excessive length, a short title shall be sufficient.

6.54 The spine of the work shall bear, in at least 24 pt type, the qualification attained, yoursurname and initials and year of award in gold lettering. These three items should read inthat order from the top to the base of the spine when the work is correctly shelved in the

vertical position. This information shall be printed along the spine in such a way as to bereadable when the volume is lying flat with the front cover uppermost. If the work consists ofmore than one volume, the spine shall also bear at the base the number of each volume.

6.55 The approved binding of a thesis consists of boards and smooth cloth:

the MPhil thesis must be bound in a maroon colour cloth

the PhD thesis must be bound in a dark blue cloth

6.56 One copy of all drawings, maps and similar documents must be supplied, preferably beingincluded in each text but may, if necessary, be submitted in portfolios lettered in a similarfashion to the text.

6.57 One copy of the Summary must be bound into the hard copy of the thesis.


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MPhil and PhD by Composition

6.58 For the Master of Philosophy or the Doctor of Philosophy by musical composition, the portfoliomust be bound in the approved style of rigid material, A3 in size, portrait orientation andbound at the side with lace-up ties.

6.59 Inside it should have two wallets:

one to hold the scores that make up the submission (these can be numerous andpotentially thick, making the portfolio rather wide).

one to hold the Commentary required as part of the submission.

6.60 The approved colour and lettering should be in line with that given above for Doctor ofPhilosophy or Master of Philosophy. Please note that, although the scores for the initialsubmission may be larger than A3, all scores for the final binding should be reduced to eitherA4 or A3.

6.61 The Student Progress and Assessment Office can advise you on details of binders who canprovide the necessary portfolio binding.

Additional requirement for Doctor of Philosophy students in the Institute for Development Studies(IDS):

6.62 Successful Doctor of Philosophy students in the IDS are asked to submit a further copy oftheir completed thesis, in hard-cover binding, which will be given to the IDS Library. The IDSLibrary will arrange reimbursement of the extra cost incurred upon presentation of receipts forphotocopying and binding. (NB: This applies only to completed theses: you do not need tosubmit an extra copy at initial submission stage.)

6.63 This extra copy should be submitted direct to the IDS Library. Reimbursement will be

arranged.

University Institutional Repository and the British Library

6.64 On the successful completion of your examination, you are required to submit one hard andone electronic (.pdf) copy of your thesis or portfolio, both of which become the property of theUniversity. The hard copy will be retained by your department or School.

6.65 The electronic copy will be used to allow public access to your thesis via the UniversitysInstitutional Repository, Sussex Research Online. Sussex University Library will no longerhold printed hard copies of theses. An electronic copy of your thesis will also be uploaded tothe Electronic Theses Online Service (EThOS) run by the British Library (http://ethos.bl.uk).This service offers free access to the full text of UK theses, allowing your research to be

made available to the wider scholarly community more easily. The thesis will be free todownload, although the requestor may opt to pay for a print copy or a copy on CD. You willbe requested to complete an EThOs deposit form upon submitting your thesis. Please alsosee 6.76.

Confidentiality: Guidelines for Students and Supervisors

6.66 Under the Regulations for the Award of the Degrees of Master of Philosophy and Doctor ofPhilosophy the following applies:

Only material which is freely available for publication may be incorporated into worksubmitted for assessment. For work permitted to incorporate material not freely available forpublication an embargo on consultation or restriction of access may be implemented by the

Library for a specific duration with the approval of the Director of Doctoral Studies of the


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relevant School and other conditions shall apply at the discretion of the Director of DoctoralStudies who may permit the inclusion of materials not freely available for publication.

6.67 The following is intended to illustrate the kinds of material, which may be termed confidentialsources, referred to by this Regulation, and to offer guidance on the problems which suchmaterial presents.

The nature of confidential sources

6.68 The following are examples of sources of confidential information which may be encounteredby students:

a) Information from documents or files which were produced under the authority of apublic agency or government department, and made available by private agencies,such as firms, or individuals, with or without conditions;

b) Information from letters written by individuals in a public or private capacity whichhave not been published or available in a public archive for more than one hundredyears;

c) Information from interviews with individuals about the activities and/or personnel ofpublic or private organisations.

6.69 Any material which is protected by copyright should also be considered to determine whetherit is also confidential.

6.70 In the course of their research, students may obtain information from confidential sources,and then face decisions about how to take account of the information, and how to clear it forpublication. The problems should not be put aside until the thesis has been written. It isimportant to realise that a thesis is legally considered to have been published as soon as it ismade available to anyone at all, and therefore it cannot be written as a private document.

Treatment of confidential sources

6.71 Given that a thesis is a publication, it cannot, without permission, include quotations from, orcitations of, documents or letters or oral statements which are confidential. Students whohave obtained confidential information should proceed as follows:

a) Every effort should be made to find published sources which make points orsubstantiate data which have been encountered in confidential sources.

b) Some institutions allow a researcher to consult records on condition that manuscriptsof any material intended for publication are submitted to them for approval prior topublication; in such cases, copies of the letter stating conditions of access andsignifying approval of the thesis manuscript should be included when the thesis is

submitted for examination.

c) Students may be given documents or letters held by a private individual who is anemployee, or former employee, of some public or private institution. If students wishto quote from or cite documents or letters belonging to such private collectors, theyshould obtain written permission from the originators of the letters or documents,whether personal or institutional.

6.72 In many cases, the amount of confidential material which students will obtain in the course oftheir research can be dealt with simply, but if students intend to base their theses to a largeextent on such sources, then they should discuss this matter carefully with the supervisor witha view to making a proposal on access to the thesis in due course.


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6.73 It should be remembered that in seeking access to confidential sources the student is invitingtrust. The good standing of the student, of succeeding students, and of the University,requires that such trust be honoured.

Access to theses

6.74 When a thesis is submitted, it is therefore subject to the following arrangements:

i) it is made available for use in the Sussex University Repository, Sussex ResearchOnline;

ii) it is automatically uploaded to the British Library EThOS service and hence becomespublicly available for download subject to the acceptance of the EThOS End UserLicence Agreement;

iii) particulars of the thesis, sometimes including abstracts, are sent to various national,international and subject bodies, and to bibliographies.

6.75 There may be valid reasons for restricting access to your thesis. Usually this will be for a

limited period. Common reasons why you may need to restrict access to your thesis are:

Your thesis is due for publication and your publisher has advised against making itfreely available;

Your thesis contains commercially sensitive information that may prejudice thecommercial interests of another person or company;

Your thesis contains material that was obtained under a promise of confidentiality;

Your thesis contains sensitive material about an individual or individuals that mayendanger their physical or mental well-being;

All requests for an embargo should be discussed in the first instance with your supervisor whowill advise you on how to proceed. In exceptional circumstances access may, with thepermission of Senate, be restricted for a period of six months or a year. Extensions of aninitial embargo by intervals of one year could be considered very exceptionally, provided thatthe total period of the embargo did not exceed five years.

Third party copyright

6.76 Before submitting the hard and electronic copies of your thesis, you should check that you areable to use any third party material e.g. photographs, images, diagrams, maps and longextracts from other works. While you are permitted to use third party material in a thesis forthe purposes of examination, you do not automatically have permission to make thesematerials freely available online. Under copyright law, making a thesis available online isconsidered a form of publishing as it makes the work available to the public. Every attemptshould be made, at the earliest opportunity, to gain permission from the rights holder toinclude such material. All permission should be obtained in writing and an electronic copy ofthe correspondence should be submitted along with the electronic copy of your thesis. Furtherinformation on third party copyright permissions, including what to do if permission is notgranted, is available from the Library website athttp://www.sussex.ac.uk/library/copyright/etheses

End-of-programme feedback on your experience as a research student

6.77 At the same time as you are requested to return the EThOS deposit form to the StudentProgress and Assessment Office, you will also be asked to complete an end-of-programmeevaluation form. This will enable you to provide feedback to the Doctoral School on the


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working of your examination process, as well as some overall reflections on your experienceas a research student during your time at Sussex.

Graduation

6.78 You will be issued with details of the graduation ceremonies which are currently held in

January and July. You will be sent details of the next appropriate ceremony based on theexpected date of submission as given on the notice to submit form as follows:

July Ceremony details for expected submissions by 31 March

January Ceremony details for expected submissions by 30 September

6.79 This does not guarantee that you will have completed in time to be eligible to graduate at theceremony for which details have been issued.


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Documents

Handbook for Doctoral Researchers 2010-11-3[1]