• Section 1 - Purpose
• Document context
• Section 2 - Policy
• Part A - Principles and governance
• Principles
• Academic governance of HDR courses
• Part B - HDR awards
• Types of award
• Part C - HDR candidatures
• Candidates’ rights and responsibilities
• Appointment of and responsibilities of supervisors
• Academic integrity and academic and research misconduct
• Admission and enrolment
• Induction and training
• Australian Government Research Training Program–funded scholarships
• Minimum and maximum periods of candidature
• Probation and confirmation of candidature
• Change of research focus
• Leave
• Satisfactory progress
• Termination of candidature
• Conversion of candidature to a different award
• Part D - HDR thesis submission and examination
• Submission of examinable work
• Examination of the work
• Approval of final result and conferral of awards
• Part E - Dual and joint HDR awards
• Part F - Appeals and complaints
• International students
• Section 3 - Glossary

Section 1 - Purpose

(1) This policy and the supporting procedures provide the framework for higher degree by research (HDR) courses and research training at Charles Sturt University (the University; Charles Sturt). These support compliance with the Higher Education Standards Framework (Threshold Standards) 2021 (HESF) and provide guidance for:

1. the rights and responsibilities of candidates and supervisors
2. induction and orientation
3. monitoring candidates’ progress
4. assessment and examination of candidates’ work
5. independence of examiners
6. presentation and communication of research outputs by candidates, and
7. resolution of disputes.

Document context

Section 2 - Policy

Part A - Principles and governance

Principles

(2) Delivery of HDR courses and support of HDR candidates is guided by the following principles:

1. Higher degrees offered by the University are consistent with the levels of skills and knowledge, and qualification specifications, stated by the Australian Qualifications Framework.
2. On completion of their candidature, candidates will have demonstrated specific and generic learning outcomes related to research (as per HESF standard 1.4), including:
   1. a detailed understanding of the specific topic of their research, within a broad understanding of the field of research
   2. capacity to scope, design and conduct research projects independently
   3. technical research skills and competence in the application of research methods, and
   4. skills in analysis, critical evaluation and reporting of research, and in presentation, publication and dissemination of their research.
3. Where awards are offered jointly with a partner institution, or candidates are partly supervised by a partner institution, there is appropriate approval and quality assurance of such arrangements, balanced with some flexibility to accommodate partners’ equivalent policies.
4. Candidates are only admitted to full candidature after rigorous scrutiny of their proposed research and confirmation that appropriate supervision and research facilities are available for their proposed project.
5. Candidates are well supervised by an appropriately qualified supervisory team with the requisite knowledge and skill to supervise the candidate.
6. The University complies with legislative requirements for the provision of Australian Government Research Training Program–funded scholarships.
7. There is regular monitoring of HDR candidates’ progress and standard of work.
8. There is a fair process for terminating HDR candidature where a candidate fails to maintain satisfactory progress.
9. Examination of candidates’ work is rigorous and impartial.

Academic governance of HDR courses

(3) Academic governance and oversight of research training and higher degree by research courses are set out in:

1. Governance (Academic Senate) Rule
2. 'University Research Committee' - Membership and Terms of Reference
3. Academic Quality Policy
4. Course and Subject Policy

Part B - HDR awards

Types of award

(4) The University offers the following HDR awards:

Part C - HDR candidatures

Candidates’ rights and responsibilities

(5) HDR candidates’ rights are set out in the Student Charter.

(6) Candidates will have opportunities to provide feedback on their educational experiences through their progress reports and the annual graduate student research experience survey.

(7) HDR candidates are responsible for:

1. applying themselves to their research and preparation of their thesis diligently and to the best of their ability
2. completing the training required by the Academic Integrity Policy and, if required, the Defence Trade Controls Procedure or any other appropriate training as required for their research
3. consulting their supervisors regularly as agreed in the expectations and communications plan
4. participating fully in the six-monthly report to the Office of Graduate Research on their progress
5. collaborating with their supervisory team to obtain any ethical and/or safety approvals needed for their research and meeting the conditions of such approvals. This may include approvals from Charles Sturt, Australian Government regulatory authorities, host organisations, or regulatory authorities of another country in which the candidate undertakes their research
6. completing ethics training where research projects involve human participants or animals, and
7. abiding by the codes, rules, policies, procedures, guidelines and decisions of the University and, as relevant, Australian Government regulatory authorities, a host organisation or regulatory authority of another country in which the candidate undertakes their research.

Appointment of and responsibilities of supervisors

(8) Prospective candidates will nominate their proposed supervisors in their admission application.

(9) Supervisors are approved by the Dean, Graduate Research, who will appoint a supervisory team for each candidate comprising of:

1. a principal supervisor, who must normally be an academic staff member of the University or partner institution
2. one or more co-supervisors, which may include an external expert if they have expertise in the particular area of research or profession.

(10) Each supervisor must:

1. be registered with the Office of Graduate Research on the register of supervisors
2. declare conflicts of interest, including any personal relationship with the candidate, to the Head of School (or equivalent) or their delegate and Sub Dean (Graduate Studies)
3. ensure their actions are consistent with the Universities Australia Principles for Respectful Supervisory Relationships.

(11) The principal supervisor is:

1. responsible for leading the supervisory team
2. accountable for the candidate’s supervision and progress to the Sub Dean (Graduate Studies) of the faculty in which the candidature is based.

Academic integrity and academic and research misconduct

(12) Provisions for academic integrity and academic or research misconduct are set out in the:

1. Academic Integrity Policy, which provides the University’s expectations in relation to academic integrity, including research integrity
2. Research Policy, which defines the University's code of research conduct and states detailed requirements for research integrity and research safety
3. Student Misconduct Rule 2020, which sets out how breaches of academic integrity or research integrity by students, including HDR candidates, may be reported, investigated and addressed.

Admission and enrolment

(13) The Admissions Policy and Higher Degree by Research Procedure – Candidature state the entry requirements for HDR courses, and the Admissions Procedure states the process for applications for admission to HDR courses.

(14) The Enrolment and Fees Policy and Procedures and Higher Degree by Research Procedure – Candidatures state enrolment requirements for HDR courses.

Induction and training

(15) HDR candidates will receive induction and training, irrespective of their educational background, entry pathway, study mode or study load.

(16) The Office of Graduate Research and the supervisory team ensure that induction and training is provided in relation to:

1. the University's research code of conduct, research ethics, research data management, authorship, copyright, and intellectual property
2. discipline-specific and research facility-specific matters the candidate needs to understand to undertake their research
3. responsibly publishing and disseminating research findings and outputs.

Australian Government Research Training Program–funded scholarships

(17) The University provides Australian Government Research Training Program (AGRTP)–funded scholarships on behalf of the Commonwealth Government, to encourage participation of candidates from identified groups, including First Nations Australian candidates, international candidates and return to study candidates. AGRTP-funded scholarships may be awarded to candidates of exceptional research potential who are undertaking a master by research, doctor of philosophy or professional doctorate course.

(18) The Office of the Deputy Vice-Chancellor and Vice-President (Research) approves the award of AGRTP-funded scholarships on the recommendation of the Higher Degree by Research Scholarships Committee, in accordance with the Higher Degree by Research Scholarships Procedure - Australian Government Research Training Program Funded Scholarships or, where there is any inconsistency between legislation and the procedure, in accordance with the legislation.

Minimum and maximum periods of candidature

(19) The following table sets out the minimum and maximum periods of candidature, unless an exception is approved as per clause 21:

(20) Rules for calculating a candidate’s period of candidature and the effect of approved leave are set out in the Higher Degree by Research Procedure – Candidatures.

(21) The Dean, Graduate Research may approve:

1. an exception to the minimum or maximum periods of candidature for an individual candidate where there are exceptional circumstances, on the recommendation of the relevant Sub Dean (Graduate Studies)
2. early submission of a thesis for a doctor of philosophy (typical candidature) or professional doctorate where this is endorsed by the relevant Sub Dean (Graduate Studies), as per the Higher Degree by Research Procedure – Candidatures.

Probation and confirmation of candidature

(22) Candidates will begin their candidature on a probationary basis, normally for up to one full-time year or PTE, unless a shorter probation is approved by the Dean, Graduate Research.

(23) During the probationary period, candidates will:

1. complete probationary requirements as per the Higher Degree by Research Procedure - Candidature
2. have their needs and preparedness assessed,
3. be given formative feedback and referred to academic or other support services if additional support needs are identified.

(24) Candidatures must be confirmed by the relevant Sub Dean (Graduate Studies) at the completion of the probationary period.

Change of research focus

(25) Once a candidature has been confirmed, the focus or theme of the candidate’s research may only be changed with the approval of:

1. the relevant Sub Dean (Graduate Studies), and
2. if the change will require a change to the candidate’s school and/or supervisory team, the Head of School (or equivalent) or their delegate, and
3. if the change will require a change to the candidature’s field of research or duration, the Dean, Graduate Research.

Leave

(26) HDR candidates are expected to undertake their research and thesis preparation throughout the entire period of candidature unless they are on approved leave.

(27) Candidates have the following leave entitlements, and the Dean, Graduate Research may approve additional leave in exceptional circumstances:

1. Recreation leave up to 20 working days per year.
2. Leave of absence up to a total of two teaching periods during their candidature, where necessary to meet family or employment commitments, or because of adverse circumstances.

(28) See the:

1. Higher Degree by Research Procedure - Candidature for conditions for approval of leave and the effect on the candidature period.
2. Higher Degree by Research Scholarships Procedure - Australian Government Research Training Program Funded Scholarships for the types of leave under which a scholarship stipend may be paid.

Satisfactory progress

(29) The Sub Dean (Graduate Studies) is responsible for monitoring the progress of HDR candidates in their faculty.

(30) Unsatisfactory progress may be:

1. a low standard of work, suggesting that the candidate will not be able to complete the course successfully
2. slow progress of the work, suggesting that the candidate will not complete the course within the maximum period of candidature
3. a fail as the outcome of the research proposal review at the end of the candidate’s probationary period.

Termination of candidature

(31) A candidature may be terminated by the Dean, Graduate Research if:

1. the candidate does not make satisfactory progress
2. the candidate breaches University policies or procedures
3. the University ceases to be able to provide an appropriate supervisory team for the candidate in accordance with this policy and the Higher Degree by Research Procedure – Candidature.

Conversion of candidature to a different award

(32) A candidature may be converted with approval of the Dean, Graduate Research and the candidate’s written agreement:

1. A doctor of philosophy or professional doctorate candidature may be converted to a master by research, where progress reports, the reviewed research proposal or examiners’ reports indicate that the work is at a standard more appropriate for the lower award.
2. A master by research or professional doctorate candidature may be converted to a doctor of philosophy where there is agreement that the candidate’s work is at a standard appropriate to the higher award. However, these must only be converted after the candidature is confirmed.

Part D - HDR thesis submission and examination

Submission of examinable work

(33) The thesis submitted for examination for a higher degree by research award must comply with the detailed thesis requirements provided by the Higher Degree by Research Procedure – Thesis Submission and Examination.

(34) Candidates must give their principal supervisor at least 30 calendar days notice of their intention to submit.

Examination of the work

(35) Three external examiners will be appointed by the Dean, Graduate Research to examine each HDR thesis.

(36) The examiners must:

1. be of high academic standing in the field of the candidate’s research (at least two will have international standing in the field of research)
2. hold the level of qualification required by the Academic Staff Qualifications and Expectations Procedure
3. be independent of the conduct of the candidate’s research
4. declare any potential conflict of interest, and must not be appointed where there is any conflict as described in the Australian Council of Graduate Research guidelines.

(37) The candidates’ work will be examined in accordance with HESF Standard 1.4.5 and other criteria approved by the University Research Committee.

(38) Each examiner will provide a written report and recommendation for the work independently.

(39) Recommendations must be one of the following:

(40) Where all examiners recommend:

1. pass with no amendments, the Dean, Graduate Research will initiate the process to approve and confer the award on the candidate
2. fail, the candidate will be failed and will not be allowed to resubmit the thesis in a revised form for the same degree
3. any other combination, the recommendations will be addressed as per the Higher Degree by Research Procedure – Thesis Submission and Examination.

(41) A candidate may only resubmit their work once for the same award.

Approval of final result and conferral of awards

(42) Final pass or fail recommendations will be presented to the Deputy Vice-Chancellor and Vice-President (Research) for approval.

1. If a pass result is approved, the candidate will be recommended for the list of graduands as per the Graduation Policy.
2. If a fail result is approved, the candidature will be terminated.

(43) Final versions of the passed and approved thesis (with any changes made) must be uploaded to the University's research output repository.

1. A candidate’s transcript or award may be withheld if they do not upload their thesis.
2. A full or partial embargo or access restriction may be placed on a thesis that has confidential and/or sensitive contents.

Part E - Dual and joint HDR awards

(44) Candidates may be admitted to a dual or joint award offered in partnership with another university.

1. A partnership and dual or joint award agreement must be approved by the delegated officer and their counterpart at the partner university, in accordance with the University Partnerships Policy, Delegation Schedule A - Governance and Legal and the Higher Degree by Research Procedure – Candidature.
2. The relevant partnership agreement as defined in the University Partnerships Policy must be approved.

(45) Candidates cannot undertake a joint doctor of philosophy award on the basis of prior publications.

(46) The University may agree to exceptions to Charles Sturt policies in dual award agreements where there is conflict with those of the partner university in areas such as enrolment, progress, probation, confirmation or duration of candidature, theses and examination. Where an agreement includes such an exception:

1. the agreement must be approved by the Deputy Vice-Chancellor and Vice-President (Research), and
2. the policy exception must be reported to University Research Committee, which will report this to Academic Senate.

Part F - Appeals and complaints

(47) Where a candidate wishes to appeal an original decision made under this policy or its procedures, or has a complaint about their treatment, quality of service or the conduct of staff, the following policies apply:

1. University Student Appeals Policy and University Student Appeals Procedure
2. Complaints Management Policy and Complaints Management Procedure.

International students

(48) The University will not finalise the withdrawal of an international HDR candidate from their course in PRISMS as an outcome of a breach of the conditions outlined in this policy and its procedures unless:

1. the internal appeal period has ended and the candidate has not submitted an internal appeal, as per the University Student Appeals Procedure, or
2. where an internal appeal is submitted within the prescribed period, either:
   1. the internal appeal process has been completed and the original decision upheld, or
   2. the candidate withdraws their internal appeal by notifying the University in writing.

(49) Notwithstanding any other provision within this policy or its procedures, the University will proceed with actioning and reporting a prescribed change of enrolment for an international candidate when required to meet the timeframe specified under the Education Services for Overseas Students Act 2000.

Section 3 - Glossary

(50) For the purposes of this policy:

1. Candidate – means a student enrolled in an HDR course: that is as a candidate for the HDR award to which the course leads.
2. Candidature – means the fact of a person being enrolled in an HDR course.
3. Dual HDR award – means an award where candidates undertake a single course of study with the University and another university, with their candidature time split between the two institutions. The candidate is examined against criteria agreed between the institutions before the candidature starts and each institution confers a separate award testamur that acknowledges the other institution on completion.
4. External expert – means someone who possesses industry knowledge and experience, including having completed research or otherwise making original contributions to their field that is appropriate for their appointment as a supervisor or examiner of a thesis.
5. Higher degree by research (HDR) course – as defined in the policy library glossary.
6. Joint HDR award – means an award where the University and another university jointly confer an award on an HDR graduand, and the award testamur bears the crests of both partners. One university will be the lead university, and candidates will be enrolled at the lead university, which will manage the examination of their thesis.
7. Teaching period – as defined in the policy library glossary.
8. Thesis – means the work submitted for examination; may include a traditional printed thesis and/or previously published material, creative or artistic works, software, codes, models and/or appendices.
9. Thesis by prior publication – means an alternative mode of candidature for a doctor of philosophy award, whereby the candidate is admitted on the basis of their prior publications, and in a short period of candidature prepares supplementary chapters or a significant unifying essay to submit with those publications as their thesis.
10. Thesis by publication – means an alternative mode of presenting a body of research for a doctor of philosophy award, whereby the candidate, after they begin their candidature, is approved to develop and submit works for publication in peer-reviewed publishing outlets during their period of candidature, and submit these works with supplementary chapters or a significant unifying essay instead of a single unpublished thesis.
11. Working days – means days when the University is open, excluding weekends, public holidays and other days when the University is closed.