(1) This rule may be cited as the 'Doctor of Philosophy Rule' or 'PhD Rule'. (2) The PhD is recognition of original, independent and successful research of international standard in the discipline. A PhD candidate should uncover new knowledge either by the discovery of new facts, the formulation of theories or the innovative re-interpretation of known data and established ideas. (3) Complaint Handling and Resolution Policy and appeal procedures as approved by the Academic Senate may be applied to matters under this rule. (4) A Doctor of Philosophy is a research higher degree and 67% of the study must be undertaken as independent research. (5) An applicant for admission to candidature for the degree of Doctor of Philosophy shall be qualified for admission in this university based on: (6) Applicants who are not Australian or New Zealand citizens or permanent residents of Australia must also demonstrate proficiency in English by achieving a prescribed level in an approved English examination. The approved English Language tests include the International English Language Testing System (IELTS), the Test of English as a Foreign Language (TOEFL) and the Combined Universities Language Test (CULT). (7) The standards required are: (8) If applicable, candidates must also meet Department of Immigration and Citizenship requirements for English language ability for the issue of student visas, according to country of origin. (9) Notwithstanding the provisions of clauses (7) and (8) the Research Studies Committee may require an applicant to demonstrate fitness for admission to candidature by satisfactorily carrying out such work and/or sitting for such examinations as the Research Studies Committee may determine in consultation with Associate Dean Research of the relevant College. (10) In exceptional circumstances, an applicant, who does not have the academic qualifications specified in clause (6), may be admitted to candidature for the degree if the applicant submits evidence of such academic and professional attainment, and demonstrates in an appropriate discipline a capacity for the research, deemed by the Research Studies Committee to be acceptable for the purpose of proceeding to the degree. Where a College recommends such an admission it shall provide the Research Studies Committee with evidence of the applicants understanding of and skill in use of a suitable research methodology and evidence of their ability to undertake academic writing. (11) An applicant shall not be admitted to candidature for the degree unless the Associate Dean Research of the relevant College has reported to the Research Studies Committee that adequate supervision and facilities are available. (12) An applicant may be given entry to a doctoral program on the basis of an approved application to upgrade from a research masters. See: UWS Masters (Honours) Policy. (13) An applicant who does meet the admission criteria described above may be required to successfully undertake a Graduate Certificate in Research Studies before proceeding to a doctoral program. (14) The Research Studies Committee may admit an applicant on a probationary basis for a period not exceeding 12 months. (15) Upon completion of this probationary period, the Research Studies Committee shall review the candidate's status and determine to confirm or terminate the candidature. The Research Studies Committee will seek the advice of the College. Where, after such a review, the candidate's status is confirmed, the candidature will be deemed to have commenced from the date of probationary admission. (16) On recommendation from the Associate Dean Research of the relevant College, the Research Studies Committee shall approve the thesis topic and appoint a supervisory panel normally comprising a Principal Supervisor and other member(s) as recommended (the qualifications and postgraduate supervision experience of the panel members shall be provided). The Principal Supervisor shall hold qualifications at least at the level of the award for which the candidate is admitted, and be a non-casual UWS member of staff. Where the College recommends a principal supervisor who does not have a qualification at the level at which the applicant wishes to enrol, the College will provide evidence of the research profile of the nominee and it is expected that such a nominee will hold the position of Professor or Associate Professor. (17) The Principal Supervisor will hold current registration on the Graduate Supervisors Register and qualify on the UWS Register of Research Activity (see policy). In particular circumstances where the capacity to supervise has been demonstrated, the relevant Associate Dean Research, in conjunction with the College Research and Higher Degree Committee, may recommend to the Research Studies Committee that an exception be made. The Principal Supervisor will not normally have a load greater than the equivalent of three full-time research candidates. The Research Studies Committee may approve a greater load than three full-time candidates in circumstances such as where the Principal Supervisor is a research only appointee. (18) A full time candidate will not be permitted to be enrolled in any other academic program. (19) A candidate for the degree shall be designated by the Research Studies Committee, on the recommendation of the relevant Associate Dean Research in which the candidate is registered, as full-time or part-time. (20) A full-time candidate might be expected to spend throughout the year approximately 35 hours a week on the program of research and advanced study and attend the University for consultation as required by the Principal Supervisor. (21) A part-time candidate might be expected to spend throughout the year approximately 20 hours a week on the program of research and advanced study and attend the University for consultation as required by the Principal Supervisor. (22) A candidate is expected to establish and maintain registration in the University by completing the requirements for initial enrolment and annual re-enrolment. Candidates are responsible for ensuring that the University Office of the Academic Registrar is advised of any changes to their personal and contact details during the period of their enrolment and examination. Except when the candidate is on approved leave, failure to re-enrol will lead to the candidate being deemed to have abandoned the course. (23) Candidates must access their candidate email account, as required by HESA legislation. (24) Candidates are required to make themselves available for consultation with academic advisors on campus. (25) The minimum period of candidature for the degree of Doctor of Philosophy shall be three years full-time or the part-time equivalent. (26) The maximum period of candidature for the degree of Doctor of Philosophy shall be four years full-time, or part-time equivalent. (27) The Research Studies Committee may, in exceptional circumstances, vary the period of candidature. (28) Candidates who wish to submit work for examination before completion of the minimum period of candidature should apply in writing to the Research Studies Committee with the support of their Supervisory Panel and College. The Research Studies Committee will seek evidence that no purpose would be served by continuing the candidature in terms of academic readiness of the work. (29) Applications for extension beyond maximum time may be considered by the Research Studies Committee where there is clear evidence that there have been delays beyond the control of the candidate. (30) It is the responsibility of both the candidate and supervisor to ensure timely completion. Extensions may be granted for a maximum period of one session. (31) Candidates are considered to have completed study when they have lodged an exam ready thesis and a fully endorsed Thesis Lodgement Form with the Office of the Academic Registrar. (32) The Associate Dean Research of the relevant College may approve changes to the supervisory panel or thesis topic during the period of candidature. Changes to thesis topic may not be of a nature that would require substantial reworking or abandonment of work already accomplished in the candidature. (33) Candidates must complete a Measures of Achievement with their Supervisory Panel within the first six months of enrolment. (34) Candidates must successfully complete a formal Confirmation of Candidature within 12 months of commencement of candidature. Full-time candidates will normally complete the Confirmation of Candidature within six months. (35) Failure to successfully undertake a Confirmation of Candidature may lead to termination of candidature. In such cases the College Research and Higher Degree Committee will make a recommendation to the Research Studies Committee with a full explanation of why the recommendation has been made. The Research Studies Committee will make a determination regarding continuation or termination of candidature. (36) The candidate will have the right of appeal under the Higher Degree Rules - Appeals Policy in respect of decisions made by the Research Studies Committee under this clause. (37) Candidates must attend and participate in those candidate activities required by the Associate Dean Research. It is expected that all research candidates will present their work on campus at least once per year, at College and/or School/Centre Conferences or colloquia or as part of the annual progress review. (38) UWS has an expectation that all research will be conducted within the terms of international best practice. All research candidates are expected to adhere to the UWS Research Code of Practice. (39) Misconduct in research includes: (40) Examples of research misconduct include but are not limited to the following: (41) Disciplinary action should not be used precipitately. Supervisors shall make reasonable efforts to resolve allegations of research misconduct informally, with the expectation that, in many cases, situations will be resolved with appropriate guidance, counselling, conciliation, or other appropriate action. (42) The Misconduct - Research Students Misconduct in Research Policy shall apply to all allegations of misconduct in research. (43) All allegations of misconduct in research on the part of a PhD candidate shall be directed to the Dean Research Studies. (44) A candidate for the degree shall follow a program of advanced study and research approved by the relevant Associate Dean Research. Such program shall include the presentation of a thesis embodying the results of the candidate's work. (45) In exceptional cases, work done conjointly with other persons may be accepted, provided that the Research Studies Committee is satisfied as to the candidate's part in the conjoint research. (46) The thesis should uncover new knowledge either by the discovery of new facts, the formulation of theories or the innovative re-interpretation of known data and established ideas. (47) An approved program of advanced study and research shall be supervised by a supervisory panel appointed by the Research Studies Committee in the first instance. (48) Research topics involving human participants or animal subjects or the use of micro-organisms of Risk group 2 or higher, whole micro-organisms, in vivo use of imported biological products, specimens of human origin (including blood products), recombinant DNA and ionising radiation sources require approval of the relevant UWS Ethics Committee. (49) See Research Ethics Policy. (50) Staff and candidates must observe the principles of the Conflict of Interest Guidelines within the context of research higher degree enrolment and the appointment of supervisors, panellists on Confirmations of Candidature, and external examiners. (51) Every candidate shall submit an annual progress report from the second year of enrolment, which shall be accompanied by a report from the candidate's Supervisory Panel. (52) The annual reports will be reviewed by the relevant Associate Dean Research. The outcomes of the review may include intervention in individual candidatures and broad policy directions. Candidates may seek a review of their annual report from the Associate Dean Research. The Associate Dean Research may refer the matter to the Research Studies Committee for consideration. The Associate Dean Research will present a summary of annual progress report outcomes to the Research Studies Committee. (53) If the Research Studies Committee, on the recommendation of the relevant Associate Dean Research, is of the opinion that the annual report reveals seriously unsatisfactory progress towards the degree, that Committee may terminate the candidature or take such other action as it considers appropriate. A candidate may appeal to the Academic Senate against any decision under this clause. Candidates will be provided with the contact details for the PAUWS candidate advocate on their campus of enrolment so that they can seek advocacy and support, should they wish to do so. (54) Failure to complete and Annual Progress Report may lead to termination of candidature. In such cases the College Research and Higher Degree Committee will make a recommendation to the Research Studies Committee with a full explanation of why the recommendation has been made. The Research Studies Committee will make a determination regarding continuation or termination of candidature. (55) The candidate will have the right of appeal under the Higher Degree Rules - Appeals Policy in respect of decisions made by the Research Studies Committee under this clause. (56) Candidature may be terminated for failure to make academic progress during the period of candidature, failure to attend compulsory events, failure to complete an annual progress report and for academic misconduct as described under the UWS Guidelines for Responsible Practice in Research. (57) Supervisors should seek to resolve the problem through informal dispute resolution pathways before taking steps to initiate a termination of candidature. Informal measures include discussions within the School/Centre or College with key staff such as School/Centre Coordinators, Associate Dean Research and other staff members. Candidates and/or staff may invoke the UWS Complaint Handling and Resolution Policy. Candidates will be provided with the contact details for the PAUWS candidate advocate on their campus of enrolment so that they can seek advocacy and support, should they wish to do so. (58) If the Principal Supervisor is at any time of the opinion that the candidate is not making satisfactory progress, the Principal Supervisor, in consultation with the Supervisory Panel, shall recommend to the relevant Associate Dean Research that the candidate be invited to "show cause" why the candidature should not be terminated. This recommendation may incorporate the suggestion that the candidate be admitted to candidature in a research masters programme. Candidates will be provided with the contact details for the PAUWS candidate advocate on their campus of enrolment so that they can seek advocacy and support, should they wish to do so. (59) The Associate Dean Research of the relevant College will bring a recommendation to the Research Studies Committee, which will also consider the "show cause". The candidate will have the right of appeal under the Higher Degree Rules - Appeals Policy in respect of decisions made by the Research Studies Committee under this clause. Candidates will be provided with the contact details for the PAUWS candidate advocate on their campus of enrolment so that they can seek advocacy and support, should they wish to do so. (60) In special cases, the College Research Studies Committee may grant leave of absence. The period of such leave shall not be counted as part of the period of candidature for the degree. The maximum amount of leave will normally be two sessions in any one candidature. (61) As a general guide, valid reasons for leave of absence are any unexpected events that are outside a candidate's control to prevent or overcome. It must be sufficiently grave in nature or duration to have caused significant disruption to a candidate's capacity to study effectively. Circumstances may include: serious medical reasons, family/personal reasons or employment-related reasons, such as substantial change to routine employment arrangements or status. (62) On resuming candidature after leave of absence a candidate shall be enrolled for not less than one session before being permitted to submit a thesis. Candidature time is suspended during formal periods of absence and the candidate's maximum time for submission will be extended by the duration of the period of leave. (63) On admission of a candidate who has been undertaking higher degree study in another institution, the Research Studies Committee shall determine what part of the period of previous higher degree study shall count as part of the period of candidature for the degree of Doctor of Philosophy. (64) The Research Studies Committee may permit a candidate to transfer candidature to the degree of Masters (Honours). (65) In cases of transfer the Research Studies Committee shall determine what part of the period of the Doctor of Philosophy degree study shall count as part of the period of candidature for the degree of Masters (Honours). (66) The candidate's thesis must be the candidate's own account of the work undertaken. The thesis may consist of a single written work or a combination of a written work with work in other media (exhibition, performance, novel, film, video, computer program, etc.). The language of expression and analysis must be English and reach a satisfactory standard of literary presentation. Candidates in modern languages may submit a thesis in a language other than English with the approval of the Research Studies Committee. (67) A candidate may not submit as the main content of the thesis any work or material which has been previously submitted for any degree, but may incorporate such work or material in the thesis if the candidate specifies the work or material which has been so incorporated and if it does not form part of the main content of the thesis. (68) Before a candidate may submit a thesis, the Supervisory Panel must be satisfied that the thesis meets the prescribed format and presentation and a certificate to this effect signed by the panel shall accompany the thesis when it is submitted. (69) If the Supervisory Panel does not so certify, the candidate may refer the matter of submission of the thesis for examination to the College Research Committee for determination of whether examination of the thesis can proceed. If examination has been refused because the thesis does not meet the prescribed format and presentation, referred to in (66), the examination will not proceed. The College Research and Higher Degree Committee may refer the matter to the UWS Research Studies Committee for a determination if the College is unable to reach agreement. If the examination is refused the candidate will be asked to remain enrolled and to take advice on further work from their Principal Supervisor. (70) UWS does not prescribe a word limit and candidates should seek the advice of the supervisory panel. However, one hundred thousand words is considered to be the upper limit for doctorates. Most disciplines have a general expectation of a minimum of sixty thousand words for a doctorate. (71) A candidate shall submit to the Office of the Academic Registrar three copies of the written component of the thesis prepared in a form approved by the Research Studies Committee, and include a 300 word summary and a certificate signed by the candidate to the effect that the work has not been submitted for a higher degree to any other institution. The candidate shall also indicate in the thesis the sources of information and the extent to which the candidate has used the work of others. (72) Any component(s) of the thesis in other media shall be submitted in a form approved by the Research Studies Committee. The Research Studies Committee will seek advice from the relevant College on any non printed text based component of the submission for examination. (73) All copies of the thesis presented for examination will be returned to the candidate. Examiners will be requested to return their copies unless they specifically request to keep their copy and the candidate agrees. (74) On successful completion of the degree, a candidate must submit to the Academic Registrar one digitised (CD or disc in PDF format) copy of the thesis incorporating all amendments and/or rewriting that was required as an outcome of the examination. Detailed advice on format of the digital copy can be found on the Australian Digital Theses Program web page. (75) A digital copy of the thesis will be made available via the University Library unless the Research Studies Committee, on the application of the candidate and on the recommendation of the relevant Associate Dean Research, determines in exceptional cases that it will not be made available until after the expiry of a period, which, which shall not normally exceed one year. (76) On the recommendation of the Principal Supervisor the relevant Associate Dean Research shall appoint two external examiners of the thesis. No person may be appointed as an examiner who has been a member of the Supervisory Panel for that candidate. (77) An external examiner is a person who is not employed as a member of the staff of the University at the time when invited to examine the thesis. (78) There will not normally be more than one examiner from any one institution. (79) Examiners will hold qualifications at the level of or the equivalent to that which they are examining and be recognised academic leaders in their discipline. (80) Candidates may advise their Principal Supervisor if there is a particular person in their field who they would prefer not to have as an examiner. They may also inform the Principal Supervisor of people that they would particularly like to have as an examiner However, the final recommendation will be made by the Supervisory Panel. Candidates will not be informed of the composition of their examining panel at the time of examination. Candidates may eventually learn the identity of an examiner, if the examiner agrees to their name being disclosed on the thesis report. Examiners may request that their identity not be disclosed. (81) The examiners will be asked to assess the work to determine if: (82) Each examiner shall report in writing to the Office of the Academic Registrar within six weeks of the date of posting of the thesis. Examiners may be replaced if a report is not received within two months unless the examiner is given leave to report late. (83) Upon consideration of the thesis, each examiner shall report in writing to the Office of the Academic Registrar, recommending one of the following: (84) The examiners may in addition submit a conjoint report if they wish. The decision to permit a conjoint report will be made by the relevant Associate Dean Research, in consultation with the Supervisory Panel. The Research Studies Committee may also request an additional report from the principal supervisor. (85) The examiners reports will be sent by the Associate Dean Research of the relevant College to the Principal Supervisor for comment and advice. The Principal Supervisor will prepare a written report for the Associate Dean Research that will recommend an initial outcome and list in detail any recommended changes to the thesis. (86) Where the examiners present recommendations of A, M or R the relevant Associate Dean Research may approve the initial examination outcome and report its finding to the Research Studies Committee. The Office of the Academic Registrar will advise the candidate of the College Research Studies Committee decision. (87) Where one or more examiners recommend rewriting and re-examination or fail, (X or F) the relevant Associate Dean Research will seek the advice of the Supervisory Panel and refer the matter to the Research Studies Committee. (88) The Research Studies Committee may specify the time within which any additional work shall be completed. Normally all corrections will be made within one session of the candidate being advised to make changes or rewrite for re-examination. (89) The Principal Supervisor must advise the Office of the Academic Registrar if a candidate who is re-writing will need to access to the library and other facilities. (90) Under Option F the Research Studies Committee may recommend resubmission for a research masters award. (91) The UWS Research Studies Committee will consider the College report and the Office of the Academic Registrar will advise the candidate of the Research Studies Committee decision. (92) Examination outcomes remain confidential until a final recommendation is decided. (93) In certain circumstances where the outcome is not clear, before making any determination the Research Studies Committee may take one or more of the following actions: (94) Option X shall be available only for initial examination of the thesis. (95) A re-examination will be conducted in the basis of specific advice given to the candidate on what must be achieved in rewriting. (96) The specific instructions to the candidate for rewriting for re-examination will be approved by the Research Studies Committee. (97) The rewriting instructions will be written by the Supervisory Panel and endorsed by the relevant Associate Dean Research. (98) These instructions will be provided to the examiner for the re-examination as they will form the basis of the second examination. (99) No new criticisms may be introduced by the examiner in the second examination. (100) The examiner(s) who recommended that the thesis be re-examined shall be invited to undertake the re-examination. (101) The rewritten thesis will be presented for the second examination with a thesis lodgement form. (102) Candidates will be given a copy of each examiner's report upon request, at the completion of the examination process. Each report will include the name of the examiner unless he/she requests, in writing, that his/her name be withheld. (103) When the Research Studies Committee is satisfied that all requirements have been met, it shall agree that the degree be awarded. (104) Nil. (105) NilDoctor of Philosophy Rule
Section 1 - Purpose and Context
Section 2 - Definitions
Section 3 - Policy Statement
Part A - Admission
English Language Requirements
Part B - Candidature
Mode of Candidature
Period of Candidature
Variation of the Period of Candidature
Early Submission for Examination
Extension of Candidature
Academic Progress and Review of Candidature
Part C - Research Misconduct for Research Students
Part D - Advanced Study
Part E - Ethics Committee Approval
Part F - Conflict of Interest
Part G - Annual Reports
Part H - Termination of Candidature
Part I - Leave of Absence
Part J - Transfer
Part K - Thesis
Part L - Examination and Award of Degree
Thesis Examination
Re-examination
Examiner's Report
Award of the Degree
Section 4 - Procedures
Section 5 - Guidelines
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