• Section 1 - Purpose
• Document context
•  
• Section 2 - Procedure
• Part A - Examination
• Submission of examinable work
• Early submission of thesis
• Readiness for examination
• Examination of the work
• Examination criteria
• Examiners’ recommendations
• Consideration of examiners’ reports
• Resubmission and re-examination
• Appointment of arbiter
• Approval of final result and conferral of awards
• Integrity and confidentiality of the examination process
• Honoraria for examiners and arbiters
• Submission of final thesis to CRO
• Restricted access
• Part B - Thesis requirements
• Written theses
• Non-written works
• Requirements for a thesis by publication or previous publication
• Specific requirements for thesis by publication
• Thesis requirements for thesis by prior publication
• Thesis length
• Thesis format
• Thesis content and style
• Section 3 - Glossary

Section 1 - Purpose

(1) This procedure supports the Higher Degree by Research Policy by stating detailed requirements for the submission and examination of higher degree by research (HDR) candidates’ theses at Charles Sturt University (the University; Charles Sturt).

Document context

Section 2 - Procedure

Part A - Examination

Submission of examinable work

(2) The thesis submitted by a candidate for examination for a higher degree by research award must comply with the detailed thesis requirements stated in Part B.

(3) A candidate will give their principal supervisor at least 30 calendar days notice of their intention to submit the thesis so that the supervisor can submit the appointment of examiners form and examiners can be appointed in good time.

Early submission of thesis

(4) Candidates for a doctor of philosophy or professional doctorate must normally complete the minimum candidature stated in the Higher Degree by Research Policy before the thesis may be submitted for examination. However, early submission of the thesis may be approved where:

1. a panel (consisting of the Sub Dean (Graduate Studies), Associate Dean (Research) and a disciplinary expert (internal or external) appointed by the Sub Dean (Graduate Studies) and endorsed by the Executive Dean) agree that the thesis is ready to be submitted for early examination, and
2. the Executive Dean endorses and the Dean, Graduate Research approves the early submission.

(5) Notwithstanding clause 4, a candidate admitted to a doctor of philosophy on the basis that they will submit a thesis by prior publication will not be approved to submit their thesis earlier than the minimum candidature period.

Readiness for examination

(6) A candidate will normally submit their thesis to the Office of Graduate Research once they and their principal supervisor agree it is ready for examination.

(7) Where the principal supervisor does not agree that the thesis is ready for examination, the candidate may take one or more of the following steps:

1. Attempt to resolve the matter with the principal supervisor.
2. Request that a committee be appointed to arbitrate:
   1. The committee may recommend that the candidate should be permitted to submit the thesis for examination, or that the candidate should prepare the thesis further or complete another action appropriate to the situation.
   2. The committee will comprise the relevant Sub Dean (Graduate Studies) (chair), the head of the relevant school or their nominee, and up to two disciplinary experts (internal or external).
3. Submit the thesis for examination without agreement of the supervisor or the committee.

(8) Where a candidate submits the thesis for examination without approval of the supervisor or recommendation of the committee, the examiners will not be notified that the thesis has been submitted without agreement.

Examination of the work

(9) The Dean, Graduate Research will appoint examiners based on the recommendation of the principal supervisor, endorsement of the relevant Sub Dean (Graduate Studies), and the proposed examiners’ curricula vitae. If a conflict of interest occurs, where the Sub Dean is the principal supervisor, then the Associate Dean (Research) for the appropriate faculty will endorse the proposed examiners.

(10) Three external examiners will be appointed to examine each HDR thesis, who meet the criteria stated in the Higher Degree by Research Policy.

(11) The Dean, Graduate Research may appoint a replacement examiner if an examiner fails to provide a report on a thesis within 30 calendar days of the expected date of receipt, on the recommendation of the principal supervisor and the relevant Sub Dean (Graduate Studies).

Examination criteria

(12) Examination of the candidate’s work will consider:

1. the standard of the work in relation to the University's requirements for the type of award stated in the Higher Degree by Research Policy and this procedure
2. the candidate’s understanding of the specific topic of their research and a broad understanding of the field of study
3. the originality of the work
4. a demonstration of the capacity to scope, design and conduct research independently
5. the significance of the thesis as a contribution to knowledge in the field of study
6. the adequacy of the research methodology (including technical research skills and competence in applying research methods) and skills in analysis, critical evaluation and reporting of the research
7. skill in relation to presentation, publication and dissemination, including the worthiness of the thesis for publication
8. any additional criteria approved by the University Research Committee for examination of specific courses.

(13) The Office of Graduate Research will provide each examiner with the full set of assessment criteria.

Examiners’ recommendations

(14) Each examiner will provide a written report and recommendation on the thesis and any other examinable work submitted.

(15) As per the Higher Degree by Research Policy, the examiners must make one of the following recommendations:

1. Passed with no amendments: if accepted, this recommendation has the effect that the candidate will pass the degree.
2. Passed subject to minor amendments: the report will indicate the required changes, which must be made to the satisfaction of the relevant Sub Dean (Graduate Studies).
3. Passed subject to substantive amendments: the report will indicate the required changes. Once the candidate has made these, they will submit a detailed report of the changes made to the thesis to the examination committee of University Research Committee. The thesis and the candidate’s response to the examiners will not be referred back to the examiners.
4. Resubmit: the candidate must complete the extra work and revisions identified as necessary by the examiners’ reports. A thesis that must be resubmitted requires changes of such extent, complexity and/or conceptual scale that their adequacy must be assessed again by an examiner or experts.
5. Fail: where the candidate fails, they will not be awarded the higher degree by research.

Consideration of examiners’ reports

(16) When all of the examiners’ reports are returned to the Office of Graduate Research, they will be forwarded to the Dean, Graduate Research and the relevant Sub Dean (Graduate Studies).

(17) The Sub Dean (Graduate Studies), after considering the reports, will refer them to the principal supervisor, who will provide them to the candidate.

(18) The combined examiners’ recommendations will have the following outcomes:

1. All recommendations are to pass with no amendments: the Dean, Graduate Research will initiate the process to approve and confer the award on the candidate.
2. All recommendations are to fail, the candidate will be failed and will not be allowed to resubmit the thesis in a revised form for the same degree.
3. For outcomes other than sub-clause a or b, either:
   1. the candidate will normally have six months in which to provide the faculty with a response to the examiners’ reports unless, in exceptional circumstances, the Dean, Graduate Research approves an extended or alternate due date for the response
   2. where two or more of the examiners recommend resubmission or fail (clause 15d or e), the Dean, Graduate Research in consultation with the Sub Dean (Graduate Studies) may waive the requirement for the candidate to respond to examiners and require the candidate to resubmit the work by a specified date. This may require a further period of enrolment.

(19) The candidate should prepare their response in consultation with their principal supervisor, but it need not reflect the views of the principal supervisor or anyone other than the candidate.

(20) If the candidate does not make satisfactory progress in making required changes, the relevant Sub Dean (Graduate Studies) may convene the examination committee to decide whether to recommend termination of the candidature to the Dean, Graduate Research: see the ‘Termination of candidature’ heading in the Higher Degree by Research Procedure – Candidature.

(21) Where the principal supervisor is satisfied that the candidate has addressed the examiners’ comments and made the required changes, they will provide written confirmation of this to the Sub Dean (Graduate Studies).

(22) The Sub Dean (Graduate Studies) will provide the candidate’s response and the principal supervisor’s endorsement to the Dean, Graduate Research, who will either:

1. initiate the process to approve and confer the award on the candidate
2. agree that, once the candidate has made minor changes to the satisfaction of the relevant Sub Dean (Graduate Studies), they will initiate the process to approve and confer the award on the candidate, or
3. decide that an examination committee should be convened to decide the final outcome for the work submitted

(23) If an examination committee is required to decide the outcome, it will be convened by the Sub Dean (Graduate Studies) or Dean, Graduate Research in accordance with the Higher Degree by Research Examinations Committee - Membership and Terms of Reference.

(24) The examination committee may refer decisions to the University Research Committee where it has difficulty reaching agreement or the matter is likely to create a new precedent for such decisions.

(25) The examination committee, under its terms of reference, will make one of the following recommendations:

1. That the award should be conferred once the candidate has made the substantive changes and any other changes to the satisfaction of the examination committee.
2. The candidate should be required to resubmit the work by a specified date, which may require a further period of enrolment.
3. An arbiter should be appointed to review the thesis and examiners’ reports.
4. The work should be failed, the candidate not be permitted to resubmit, and the candidature be terminated.
5. Where the candidature is for a doctor of philosophy award, that the candidate be invited to revise the thesis and resubmit for examination for a master by research award.

(26) The candidate may be called for an interview if the examination committee or the Deputy Vice-Chancellor and Vice-President (Research) believes the process would benefit from an interview with the candidate to determine the final examination outcome.

Resubmission and re-examination

(27) Where candidates are required to resubmit their thesis:

1. they will have six months in which to do so, unless the Dean, Graduate Research approves a different timeframe on the recommendation of the relevant Sub Dean (Graduate Studies)
2. they must be enrolled in an appropriate subject for their course while they prepare the resubmission
3. the Dean, Graduate Research may, on the recommendation of the relevant Sub Dean (Graduate Studies), appoint a replacement principal supervisor and/or an additional co-supervisor to support the candidate in preparing their resubmission.

(28) The examiners of a resubmitted thesis will normally be the original examiners if they agree to examine again.

(29) Once the candidate has submitted the revised thesis for examination, the examiners will make a recommendation as per the Higher Degree by Research Policy.

Appointment of arbiter

(30) Where the examination committee recommends the appointment of an arbiter:

1. the principal supervisor must nominate a minimum of three examiners external to the University, to undertake the arbitration, and
2. the Sub Dean (Graduate Studies) must recommend one of the nominated examiners to the Dean, Graduate Research for approval.

(31) Where the Dean, Graduate Research approves an arbiter, the Office of Graduate Research will:

1. provide the arbiter with a copy of the original thesis submitted for examination, the examiners’ reports, the candidate’s response to these, and the principal supervisor’s endorsement
2. ask the arbiter to review these documents and, within 30 calendar days, make one of the examiner recommendations stated in the Higher Degree by Research Policy Part D.

(32) If the thesis is for a doctor of philosophy award, the Dean, Graduate Research will also inform the arbiter that, if their recommendation is to fail the thesis, they can make a recommendation to invite the candidate to revise the thesis and resubmit for examination for a master by research award.

Approval of final result and conferral of awards

(33) Where either the examiners, an arbiter, or an examination committee recommend a final result (pass or fail) for a candidate’s thesis, the Dean, Graduate Research will forward the recommendation to the Deputy Vice-Chancellor and Vice-President (Research) for approval.

(34) Similarly, where the relevant Sub Dean (Graduate Studies) advises that a candidate has made the required minor changes to their thesis satisfactorily, the Dean, Graduate Research will forward a recommendation that the candidate’s thesis be passed to the Deputy Vice-Chancellor and Vice-President (Research) for approval.

(35) Where the Deputy Vice-Chancellor and Vice-President (Research) approves a pass result, they will recommend that the candidate be added to the list of graduands for approval as per the Graduation Policy.

(36) Where the Deputy Vice-Chancellor and Vice-President (Research) approves a fail result, the candidature will be terminated.

Integrity and confidentiality of the examination process

(37) Integrity and confidentiality of the examination process is maintained through the following:

1. Before the Office of Graduate Research provides the thesis to examiners, where it contains material that is either confidential or commercially sensitive, each examiner must confirm in writing that they will not release the confidential or commercially sensitive material.
2. Only the Office of Graduate Research may communicate with examiners during the examination process.
3. Examiners must not collaborate in preparing their reports or deciding their recommendations.
4. Examiners’ names will be included when their reports are released to the candidate, unless an examiner asks that their name not be included.
5. An examiner may be informed of the final outcome of the examination process if they request this.

Honoraria for examiners and arbiters

(38) The University will pay each examiner and each arbiter an honorarium, unless they are a salaried academic staff member of the University. The honorarium will be paid at the rate recommended by Universities Australia at the time they were sent the thesis for examination, once the Office of Graduate Research has received the examiner’s report. The school or institute that accepts the candidate at admission will bear the cost of the honorarium.

Submission of final thesis to CRO

(39) As per the Higher Degree by Research Policy, the candidate must upload a digital copy of the final version of a thesis that has been graded pass to the University's research output repository. Any theses containing previously published material must have written approval of the copyright owner to include materials in the published copy. Candidates must submit a completed third-party statement supporting documentation with their thesis upload.

(40) If the candidate has not uploaded this digital copy, the Office of Graduate Research may ask Student Administration to withhold their testamur or refuse them permission to attend a graduation ceremony until they have uploaded it: as per the Graduation Policy.

(41) The thesis will be openly available for open access unless the Dean, Graduate Research approves an embargo or restriction.

Restricted access

(42) The Dean, Graduate Research may approve a full or partial embargo on the circulation, copying and electronic access of a thesis, on the recommendation of the Sub Dean (Graduate Studies), where the thesis contains content that:

1. if released, would affect national or industrial security
2. is commercial in confidence or culturally sensitive
3. if released, would breach copyright laws or licensing agreements (such as where an agreement with a publisher restricts access), or
4. if released, would pose a risk to the author, the University or any third party.

(43) The embargo will last for two years, unless the Dean, Graduate Research approves an embargo for a longer period or a permanent restriction.

Part B - Thesis requirements

(44) Where candidature is on the basis of research conducted during the period of candidature, the thesis must be consistent with the approved research proposal.

(45) All theses must be in English. The Dean, Graduate Research may, in exceptional circumstances, approve the use of another language on the recommendation of the relevant Sub Dean (Graduate Studies).

(46) The thesis must not include as substantive content any work or material that the candidate has previously submitted for another degree or another professional activity. Such work may be quoted or be included in appendices.

(47) The candidate must have written permission from the principal supervisor before obtaining paid or professional editorial assistance in preparing the thesis. Such assistance must be specifically acknowledged in the thesis: see the ‘Thesis content and style’ heading in this procedure.

(48) Professional editing of a candidate’s thesis must be limited to formatting, grammar and style (Australian Standards for Editing Practice (ASEP) standards D – Language and Illustrations, and E – Completeness and  Consistency). The editor must not alter or improve the substantive content or conceptual organisation of the thesis. Where a professional editor provides advice to a candidate on matters of structure (ASEP Standard C – Substance and Structure), they must give examples only.

(49) All theses must be submitted for similarity checking, as required by the Academic Integrity Policy.

(50) For dual and joint awards, candidates will normally be required to submit a single thesis and this will normally be examined by a process administered by the university at which the candidate is enrolled when they submit the thesis. The requirements for presentation, submission and examination of each candidate’s thesis will be determined:

1. at the time the candidate is admitted, and
2. will be consistent with any requirements for these matters in the dual award partnership agreement.

Written theses

(51) Where the thesis is entirely written, it can either be a printed thesis or a series of publications, or a combination of the two.

Non-written works

(52) Where a thesis is not primarily a written work, it must include a piece of critical writing or exegesis which:

1. describes the development of the non-written component over the period of candidature
2. explains how each of the non-written components addresses the objectives of the approved research proposal
3. justifies the research hypotheses with a literature review, and
4. ties the non-written components together by introducing them and proposing conclusions.

(53) Where part of the thesis is a body of work in a physical location, such as an exhibition, installation or performance, the candidate will, in consultation with their principal supervisor, notify the Office of Graduate Research of the nature, scope and timing of the work at the time of submitting the appointment of examiners form.

(54) The candidate will ensure that additional items such as a video of a performance, visual presentation of artwork, or recording are supplied to examiners either with the written thesis or as soon as the items are available.

(55) Where the thesis includes bodies of work that can only be reproduced physically, the candidate will provide four copies of these to the Office of Graduate Research along with the written thesis.

Requirements for a thesis by publication or previous publication

(56) Where candidates undertake the thesis by publication or thesis by prior publication, they must:

1. demonstrate the originality and significance of the body of research published or submitted for publication
2. present these publications in the thesis with supplementary chapters or an essay that integrates the work and places the publications into the context of the research question
3. clearly demonstrate their contribution to the published papers, and
4. for all co-authored papers, provide a statement verified by each co-author about the candidate’s contribution to specific elements of the published papers, including the proportion of their contribution to:
   1. the writing of each section of each paper; and
   2. each of the analyses or experimental procedures in the paper.

Specific requirements for thesis by publication

(57) Candidates who plan to submit a thesis by publication must obtain their principal supervisor’s endorsement to undertake this thesis format. Endorsement should be obtained preferably more than 12 months before, but no later than six months before, they submit the thesis.

(58) The principal supervisor will guide the candidate on the appropriate quantity and quality of papers, and on realistic peer review and publication time-frames for work in the discipline.

(59) The supervisory team will advise the candidate on journals and other publication outlets that are of sufficiently high repute that examiners will likely consider that the publications meet the standard for the award:

1. Journals, where possible, should be published in high quality or high impact peer reviewed journals or other locations that are discipline appropriate.
2. Books or book chapters should be from recognised publishers.

(60) The thesis should constitute an integrated account that:

1. introduces the field of study and the hypothesis or research questions, and how these are addressed in the ensuing chapters, giving a general account of the theory and methodological components of the research where these components may be distributed across separate papers or chapters
2. links texts to establish the relationship between one chapter and the next, such as an introduction to each chapter
3. draws together the published works in a conclusion, addressing how the individual works are linked to the theory and methodology adopted, and evaluating the contribution of the research in the publications to advancing the area of research, and
4. provides further discussion if necessary where restrictions of journal publication or exhibition have limited full exposition of the findings and their significance and/or shortcomings.

(61) The following requirements will apply to a thesis by publication:

1. The thesis may only contain papers by the candidate that have either been published or submitted for publication in a peer-reviewed journal or by a scholarly publisher. The works must have been researched and written during the period of candidature.
2. Candidates must ensure their agreements with the publisher permits inclusion of the published work in their thesis.
3. The number of papers may range from a single long monograph to six papers. Additional papers may be approved on the recommendation of the Sub Dean (Graduate Studies) to the Dean, Graduate Research.
4. The bulk of the publications in the thesis will be published work, unless the Dean, Graduate Research approves an exception on the recommendation of the relevant Sub Dean (Graduate Studies).
5. The thesis must include a declaration by the candidate that specifies:
   1. title, authorship and publication outlet of each paper
   2. the current status of each paper or work not already published (in press, accepted, under review).
6. A statement must be provided about the candidate’s contribution to specific elements of the published papers, including:
   1. percentage contribution to the writing of each section of each paper, and
   2. percentage contribution of each of the analyses or experimental procedures in the paper. This statement must be verified by each of the co-authors of each paper.
7. The thesis may include appendices of other papers not related to the main themes of the thesis, raw data, programs, questionnaires and other material appropriate to the discipline.
8. The thesis will be formatted as stated in the ‘Thesis content and style’ section of this procedure, although journal formatting can be preserved for journal articles included.
9. Works included in the thesis should be presented as individual chapters or, where two or more works are closely linked, may be combined in one chapter.
10. As well as the published works, there must be a comprehensive introduction and final review to link the work and establish their broad academic context. Each work must also have a brief introduction to place it in the context of the whole thesis.

(62) The Dean, Graduate Research may approve submission in an alternative format, on the recommendation of the relevant Sub Dean (Graduate Studies). Such a thesis may also include video recordings, film or other works of visual or sonic arts, computer software, digital material or other non-written material.

Thesis requirements for thesis by prior publication

(63) A thesis by prior publication must:

1. comprise one or more prior publications or creative works that have been:
   1. published or otherwise made accessible to the public following peer review or a similar level of peer scrutiny
   2. approved for submission for the thesis at the time of the candidate’s admission
2. include an essay that:
   1. integrates the prior works
   2. sets out how the works make a significant original contribution to knowledge in the discipline or field
   3. contains a substantial theoretical component relevant to the discipline or field
   4. may involve additional introductory and concluding chapters.

Thesis length

(64) The following recommended and maximum word counts for a thesis apply to the texts of the thesis excluding footnotes, references and appendices.

(65) The Dean, Graduate Research may approve exceptions to the maximum word counts.

Thesis format

(66) The table below sets out the general formatting requirements for a thesis.

Thesis content and style

(67) The table below sets out requirements for the sections of a thesis. The sections should be in the order shown in the table.

Section 3 - Glossary

(68) See the Higher Degree by Research Policy.