(1) This policy states the requirements of Charles Sturt University (the University) for students’ candidature for higher degrees by research. (2) It is intended to achieve the following: (3) This policy applies to all HDR courses offered by the University. (4) Some aspects of requirements for HDR courses are stated by other policies and procedures: (5) Where supporting documents are referenced in this policy, they will be listed in the associated information tab. (6) Academic governance and oversight of research training and higher degree by research courses are set out in: (7) Doctor of philosophy courses and professional doctorates require candidates to: (8) Requirements specific to doctor of philosophy or to professional doctorate courses follow. (9) Candidates for a doctor of philosophy must undertake original and significant research on an approved topic. (10) There are two modes of candidature for a doctor of philosophy: (11) Where candidates undertake the thesis by publication or thesis by prior publication, they must: (12) In addition to the requirements in clause (7) for all doctoral courses, candidates for a professional doctorate must conduct research into a current problem or issue relevant to the practice of their profession. The thesis must: (13) The coursework subjects for the course must support the student in achieving research-integrated practice and research outcomes. (14) Candidates for a master by research must: (15) The University may award a higher doctorate (Doctor of Letters or Doctor of Science) to an applicant who has made an internationally recognised, original contribution to knowledge, surpassing the standard of work required for the award of a doctor of philosophy. (16) To be eligible, an applicant must have held a bachelor degree for at least ten years, a master degree for at least seven years or a doctoral degree for at least five years. (17) If the applicant is a graduate of the University, they must have worked continuously in the field relevant to the award since graduation. (18) If the applicant is a graduate of another university, they must have carried out a substantial part of the work submitted for the award at or in connection with Charles Sturt University. (19) The University may also confer honorary doctorates on people who have made an outstanding contribution to education, society, the public good, scholarship and/or professional practice. Such awards will be unambiguously identified as an honorary qualification. The Governance (Honorary Awards and Titles) Rule 2021 states requirements for awarding honorary awards. (20) For the University to approve candidature for a dual or joint HDR award, the relevant type of partnership agreement as defined in the University Partnerships Policy must have been approved. (21) Dual and joint award agreements must be approved by the Pro Vice-Chancellor Research (Performance and Governance) and their counterpart at the partner university. (22) For the University to enter a dual or joint award agreement with another university, the University Partnerships Procedure must be followed and there must be satisfactory evidence that: (23) Candidates cannot undertake a joint doctor of philosophy award on the basis of prior publications. (24) The Higher Degree by Research Procedure states additional requirements for candidature that are specific to dual and/or joint awards, including: (25) The Admissions - Entry Requirements (Higher Degrees by Research) Procedure states the entry requirements for joint and dual HDR courses. (26) In negotiating a dual award agreement, it may be necessary for the University to agree on exceptions to policies on HDR awards and HDR candidature, where Charles Sturt University requirements 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: (27) The Higher Degree by Research Procedure states: (28) The Dean, Graduate Research or Director, Research Services may approve an exception to the minimum or maximum periods of candidature stated below, for an individual candidate, where there are exceptional circumstances, on the recommendation of the relevant Sub Dean (Graduate Studies). (29) For a doctor of philosophy or professional doctorate where the entire candidature is completed at Charles Sturt University: (30) For a doctor of philosophy or professional doctorate where the candidature was started at another institution: (31) Notwithstanding clause (29)-(30), where a candidate is admitted to a doctor of philosophy on the basis that they will submit a thesis by prior publication, they must: (32) Candidates for a master by research: (33) There are no maximum or minimum periods of candidature for the award of a higher doctorate. (34) The Admissions Policy and Admissions - Entry Requirements (Higher Degrees by Research) Procedure state the entry requirements for HDR courses. (35) The Admissions Procedure states the process for applications for admission to HDR courses and approval of these applications. (36) The Office of Research Services and Graduate Studies will provide each new HDR candidate with an induction, irrespective of their educational background, entry pathway, study mode or study load. This will cover the University's code of conduct for research, research ethics, research data management, authorship, copyright, and intellectual property. (37) The candidate's principal supervisor will supplement this induction with an induction into discipline-specific and research facility-specific matters the candidate needs to understand to undertake their research. (38) Candidates will be encouraged to responsibly publish and disseminate their research findings and outputs, and will be provided with training opportunities and support to achieve this. (39) The University provides Australian Government Research Training Program (AGRTP)–funded scholarships on behalf of the Commonwealth Government. (40) A number of scholarships are available to encourage participation of candidates from identified groups, including First Nations Australian candidates, international candidates and return to study candidates. (41) The Office of the Deputy Vice-Chancellor (Research) approves the award of an AGRTP-funded scholarship to an individual candidate, on the recommendation of the Higher Degree by Research Scholarships Committee. (42) The Higher Degree by Research Scholarships Procedure - Australian Government Research Training Program Funded Scholarships states the University's rules for administering these scholarships, and how the University uses its discretion under the legislation governing these scholarships. (43) Should the policy or procedure be inconsistent with the legislation, the legislation overrules the policy or procedure. (44) The University awards AGRTP-funded scholarships to candidates of exceptional research potential who are undertaking a master by research, doctor of philosophy or professional doctorate course. (45) The Enrolment and Fees Policy states requirements for enrolment in courses, including HDR courses. (46) The Higher Degree by Research Procedure states enrolment-related requirements specific to HDR courses. (47) The Academic Integrity Policy states: (48) The Research Policy: (49) The Student Misconduct Rule 2020 states: (50) The Higher Degree by Research Procedure states candidates' rights and responsibilities in undertaking their candidature. (51) The Office of Research Services and Graduate Studies will maintain a register of supervisors for the University, containing names and other relevant details of persons who may be appointed as a principal supervisor or as a co-supervisor. (52) The Dean, Graduate Research or Director, Research Services will approve the addition of supervisors to the register on the recommendation of a Sub Dean (Graduate Studies). (53) To be added to the register, a proposed supervisor will normally have satisfied the conditions for addition to the register stated in the Higher Degree by Research Procedure. (54) For each candidate, the Dean, Graduate Research or Director, Research Services will appoint, on the recommendation of the relevant Sub Dean (Graduate Studies), a supervisory team comprising: (55) For a dual award candidate, the principal supervisor for the candidate’s enrolment at the partner university may be a staff member of the partner university, who meets the partner university’s requirements to be a principal supervisor. (56) For any candidate, an external expert may be appointed as a co-supervisor if they have expertise in the particular area of research or profession. (57) The Higher Degree by Research Procedure states detailed requirements for appointment of supervisors. (58) Each supervisor must: (59) The principal supervisor is: (60) The Higher Degree by Research Procedure states the responsibilities of principal supervisors in more detail and states the responsibilities of co-supervisors. (61) If a supervisor does not meet one or more of the responsibilities of their role, the Dean, Graduate Research or Director, Research Services, on the recommendation of the Sub Dean (Graduate Studies), may: (62) The Sub Dean (Graduate Studies) is responsible for monitoring the progress of HDR candidates in their faculty. (63) The Higher Degree by Research Procedure states what measures will be taken where a candidate’s principal supervisor or co-supervisor is unable to provide supervision. (64) Each candidate will begin their candidature on a probationary basis, unless the Dean, Graduate Research or Director, Research Services approves an exception, on the recommendation of the Sub Dean (Graduate Studies). An exception may be approved, for example, where: (65) Probationary candidature will normally last up to one full-time year or part-time equivalent. (66) The relevant Sub Dean (Graduate Studies), in consultation with the principal supervisor, will specify the conditions of probation as part of their recommendation to admit the candidate. (67) Candidates’ needs and preparedness will be assessed, and formative feedback provided, to enable additional support needs to be identified and for the candidate to be referred to academic or other support as required. (68) During their probationary candidature, candidates must: (69) A probationary candidate’s research proposal will be reviewed by a panel, which will recommend one of the following outcomes to the relevant Sub Dean (Graduate Studies) for decision: (70) Once a research proposal has been passed, the research focus or theme may only be changed with the approval of: (71) Candidates are expected to undertake their research and thesis preparation all year unless on approved sessional leave or on the types of leave described in the ‘Leave’ section of this policy. (72) The relevant Sub Dean (Graduate Studies) will monitor a candidate’s progress during their probationary candidature, in consultation with the candidate and their principal supervisor. Progress will be monitored through the development of the candidate’s expectations and communications plan, individual development plan and probation requirements. (73) The candidate must submit a progress report every six months, for: (74) From their review of a candidate’s progress report or reports, and on the recommendation of the relevant Sub Dean (Graduate Studies), the Dean, Graduate Research or Director, Research Services or their nominee may: (75) The University expects an HDR candidate to be undertaking their research and thesis preparation for their candidature on any weekday when the University is open, other than when they are on approved leave. (76) A candidate may have: (77) The Dean, Graduate Research or Director, Research Services may approve a request for leave from an HDR candidate, on the recommendation of the relevant Sub Dean (Graduate Studies). (78) The Dean, Graduate Research or Director, Research Services may approve a request for leave beyond the limits stated in subclauses (76)b. and c. where there are exceptional circumstances. (79) The Higher Degree by Research Procedure states more detailed conditions for approval of leave and how it affects the candidature period. (80) The Higher Degree by Research Scholarships Procedure - Australian Government Research Training Program Funded Scholarships states the types of paid leave a recipient of such a scholarship may have: that is, leave during which payment of a scholarship stipend will continue. (81) A candidate who wishes to withdraw from a subject after the census date has passed must apply for either: (82) The Higher Degree by Research Procedure states the application process for, and effects of, late withdrawal and approved withdrawal. (83) The relevant Sub Dean (Graduate Studies) will advise the Dean, Graduate Research or Director, Research Services if a candidate is not making satisfactory progress or has failed to comply with university policies or procedures relevant to their candidature. (84) Unsatisfactory progress may be: (85) A probationary candidate’s progress will be considered unsatisfactory if the outcome of the review of their research proposal is a fail. (86) Where a candidate is identified as not making satisfactory progress and/or in breach of relevant policies or procedures, the Dean, Graduate Research or Director, Research Services will: (87) If the candidate: (88) A candidate for a doctor of philosophy or professional doctorate award may convert to candidature for a master by research award, where progress reports, reviewed research proposal or examiners’ reports indicate that the candidate’s work is at a standard more appropriate for the lower award. (89) Such conversions are approved: (90) A candidate for a master by research or professional doctorate award may convert to candidature for a doctor of philosophy award where there is agreement that the candidate’s work is at a standard appropriate to the higher award, however not prior to when confirmation of candidature is approved. (91) Such conversions are approved by the Dean, Graduate Research or Director of Research Services on the recommendation of the candidate’s principal supervisor and Sub Dean (Graduate Studies), and/or with endorsement from the reviewers during the confirmation process, with the candidate’s written agreement. (92) The Higher Degree by Research Scholarships Procedure - Australian Government Research Training Program Funded Scholarships states the conditions on which a scholarship recipient may continue to receive a scholarship following such a conversion. (93) The thesis submitted by a candidate for examination for a higher degree by research award must comply with the detailed thesis requirements stated in the Higher Degree by Research Procedure. (94) 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. (95) A candidate will normally submit their thesis to the Office of Research Services and Graduate Studies once they and their principal supervisor agree it is ready for examination. (96) Where the principal supervisor does not agree with the candidate that the thesis is ready for examination, the candidate may take any or all of the following steps: (97) Where a candidate submits the thesis for examination without approval of the supervisor or committee, the Dean, Graduate Research or Director, Research Services will proceed as stated under the ‘Examination of the work’ section in this policy. The examiners will not be notified that the thesis has been submitted without agreement. (98) The Dean, Graduate Research or Director, Research Services will appoint examiners based on the recommendation of the principal supervisor and 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. (99) Three external examiners will be appointed to examine each HDR thesis. (100) Examiners must: (101) If an examiner fails to provide a report on a thesis within 30 calendar days of the expected date of receipt, the Dean, Graduate Research or Director of Research Services may appoint a replacement examiner, on the recommendation of the principal supervisor and the relevant Sub Dean (Graduate Studies). (102) The Higher Degree by Research Procedure states requirements for: (103) Examiners will examine a thesis against the requirements for the type of course, considering: (104) University Research Committee may approve additional criteria for examination of specific courses on the faculty’s recommendation. (105) The Office of Research Services and Graduate Studies will provide each examiner with the full set of assessment criteria. (106) Each examiner will provide a written report on the thesis and any other examinable work submitted, including a recommendation for the thesis to be: (107) The Office of Research Services and Graduate Studies will receive the examiners’ reports and, once all have been received, will forward them to the Dean, Graduate Research or Director of Research Services and the relevant Sub Dean (Graduate Studies). (108) The Sub Dean (Graduate Studies), after considering the reports, will refer them to the principal supervisor, who will provide them to the candidate. (109) Where the examiners’ all recommend a pass (clause (106)a), the Dean, Graduate Research or Director of Research Services will initiate the process to approve and confer the award on the candidate. (110) Where one or more of the examiners recommend clause (106)b, c, d or e, the candidate will normally have six months in which to provide the faculty with a response to the examiners’ reports. The Dean, Graduate Research or Director of Research Services may approve an extension of the deadline or set a new deadline for response in exceptional circumstances. (111) Where two or more of the examiners recommend clause (106)d or e, the Dean, Graduate Research or Director, Research Services, 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. (112) Where all examiners recommend clause (106)e, the candidate will be failed and will not be allowed to re-submit the thesis in a revised form for the same degree. (113) 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. (114) 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 or Director of Research Services: see the ‘Termination of candidature’ section of this policy. (115) 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 relevant Sub Dean (Graduate Studies). (116) The Sub Dean (Graduate Studies) will provide the candidate’s response to the examiners’ reports and a copy of the principal supervisor’s endorsement to the Dean, Graduate Research or Director of Research Services, who will either: (117) If an examination committee is required to decide the outcome, it will be convened by the Sub Dean (Graduate Studies) or Dean, Graduate Research or Director of Research Services and include: (118) The Dean, Graduate Research or Director of Research Services will have right of audience on any examination committee. (119) 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. (120) The examination committee, under the appropriate terms of reference, will make one of the following recommendations: (121) Where the candidature is for a doctor of philosophy award, the examination committee may alternatively recommend that the candidate not be awarded this degree, but be invited to revise the thesis and resubmit for examination for a master by research award. (122) The candidate will have six months in which to resubmit unless the Dean, Graduate Research or Director of Research Services approves a different deadline on the recommendation of the relevant Sub Dean (Graduate Studies). (123) The candidate must be enrolled in an appropriate subject for their course while they prepare the resubmission. (124) The Dean, Graduate Research or Director of Research Services 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. (125) The examiners of a resubmitted thesis will normally be the original examiners if they agree to examine again. (126) Once the candidate has submitted the revised thesis for examination, the examiners will make one of the following recommendations: that the thesis be: (127) A candidate may only resubmit their work once for the same award. (128) Where the examination committee recommends the appointment of an arbiter, the principal supervisor will be responsible for nominating a pool of examiners for this purpose, with a minimum of three provided and who are external to the University. (129) An arbiter will be recommended from this pool of examiners by the Sub Dean (Graduate Studies) and approved by the Dean, Graduate Research or Director of Research Services. (130) Where the Dean, Graduate Research or Director of Research Services approves an arbiter, the Office of Research Services and Graduate Studies will: (131) If the thesis is for a doctor of philosophy award, the Dean, Graduate Research or Director of Research Services will also inform the arbiter that, if their recommendation is to fail the thesis, they can make the recommendation described in clause (121). (132) Where the examiners, an arbiter or an examination committee recommend a final result (pass or fail) for a candidate’s thesis, the Dean, Graduate Research or Director of Research Services will forward the recommendation to the Deputy Vice-Chancellor (Research) for approval. (133) 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 or Director, Research Services will forward a recommendation that the candidate’s thesis be passed to the Deputy Vice-Chancellor (Research) for approval. (134) Where the Deputy Vice-Chancellor (Research) approves a pass result, they will also recommend to Academic Senate that the candidate be added to the list of graduands for approval: the Conferral and Graduation Policy describes this process in more detail. (135) Where the Deputy Vice-Chancellor (Research) approves a fail result, the candidature will be terminated. (136) Once a candidate’s thesis is approved as a pass, the candidate must upload the final version of the thesis (with any changes made) to the University's research output repository. (137) The Higher Degree by Research Procedure states the requirements for: (138) Where a student 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: (139) The Higher Degree by Research Procedure supports this policy by stating detailed requirements for: (140) The Higher Degree by Research Scholarships Procedure - Australian Government Research Training Program Funded Scholarships states the University's detailed requirements for these scholarships, including: (141) Nil. (142) For the purposes of this policy, the following terms have the definition stated:Higher Degree by Research Policy
Section 1 - Purpose
Scope
References
Top of PageSection 2 - Policy
Academic governance of HDR courses
Requirements for types of course
Doctoral courses
Doctor of philosophy
Professional doctorate
Master by research
Higher doctorates
Honorary doctorates
Dual and joint HDR awards
Policy exceptions for dual or joint award agreements
Minimum and maximum periods of candidature
Doctor of philosophy and professional doctorate periods of candidature
Doctor of philosophy/thesis by prior publication periods of candidature
Master by research periods of candidature
Higher doctorate periods of candidature
Admission
Induction and training
Australian Government Research Training Program–funded scholarships
Enrolment
Academic integrity and academic and research misconduct
Candidates’ responsibilities
Supervision
Register of supervisors
Appointment of supervisors
Responsibilities of supervisors and the Sub Dean (Graduate Studies)
Absence or departure of supervisors
Probationary candidature
Confirmation of candidature
Change of research focus
Progress
Leave
Withdrawing after census
Termination of candidature
Conversion of candidature to a different award
Submission of examinable work
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
Submission of final thesis
Appeals and complaints
Top of PageSection 3 - Procedures
Top of PageSection 4 - Guidelines
Section 5 - Glossary
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