(1) This rule establishes policy for the academic governance of the degree Doctor of Philosophy including the admission of candidates, matters related to the enrolment and progression of candidatures, examination and graduation. (2) A Doctor of Philosophy (PhD) is a research higher degree of which at least two-thirds of the study must be undertaken as independent research. (3) The PhD is awarded in recognition of original, independent and successful research of international standard in the discipline. A PhD candidate should make a substantial original contribution to knowledge in the form of new knowledge or significant and original adaptation, application and interpretation of existing knowledge. These outcomes may be based on a comprehensive critical review of literature, empirical research, creative work or other systematic approach embedded in a field or discipline, and/or they may be based on advanced and sustained critical reflection and analysis of professional theory and practice. (From "Framework for Best Practice in Doctoral Education in Australia" Council of Australian Deans and Directors of Graduate Studies March 2005) (4) An applicant for admission to candidature for the degree of Doctor of Philosophy shall hold: (5) In exceptional circumstances a College Research and Higher Degrees Committee may recommend to the Research Studies Committee that an applicant who does not have the qualifications specified in clause 4 be considered for admission. In such cases the College Research and Higher Degrees Committee will present evidence that the applicant has equivalent qualifications based on academic and professional attainment and demonstration in an appropriate discipline of a capacity for the research. Evidence should demonstrate the applicants understanding of and skill in the use of a suitable research methodology and ability to undertake academic writing. (6) An applicant may be given entry to a doctoral program on the basis of an approved application to upgrade from a research masters degree. See: Research Masters (Honours) Policy (7) An applicant who does not meet the admission criteria described above may be required to successfully undertake a Graduate Certificate in Research Studies. (8) The College Research and Higher Degrees Committee must attest that adequate supervision and facilities are available before an admission may be approved. (9) On recommendation from the College Research and Higher Degrees Committee, 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. Appointment of panels will uphold policy described in the Supervision of Research Candidates Policy. (10) 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). (11) The standards required are: (12) 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. (13) A candidate is expected to establish and maintain enrolment at the University by completing the requirements for initial enrolment and annual re-enrolment. (14) Except when the candidate is on approved leave, failure to re-enrol will lead to the candidate being deemed to have abandoned the course. (15) 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. (16) Candidates must access their student email account. (17) Candidates are required to make themselves available for consultation with academic advisors on campus. (18) Commencing candidates must undertake such Orientation programs as are directed by the Research Studies Committee. (19) At admission a candidate shall be designated as full-time or part-time by the Research Studies Committee on the recommendation of the College Research and Higher Degrees Committee. (20) International on-shore candidates may not enrol part-time. (21) Scholarship recipients must usually enrol full-time and are advised to consult their Conditions of Award for further information. (22) A candidate may change their mode of candidature from full-time to part-time or part-time to full-time on approval of the College Research and Higher Degrees Committee. (23) A full-time candidate should expect to spend approximately 35 hours a week throughout the year on the program of research and advanced study and to attend the University for consultation as required by the Principal Supervisor. (24) A part-time candidate should expect to spend approximately 20 hours a week throughout the year on the program of research and advanced study and to attend the University for consultation as required by the Principal Supervisor. (25) The minimum period of candidature is three years full-time, or the part-time equivalent. (26) The maximum period of candidature is four years full-time, or the part-time equivalent. (27) It is the responsibility of both the candidate and supervisor to ensure timely completion. Scholarship end dates are different to candidature completion dates and recipients should consult their conditions of award for information relating to the duration and implementation of scholarships. (28) 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 that could not have reasonably been foreseen. (29) Extensions may be granted for a maximum period of one session. (30) The College Research and Higher Degrees Committee 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. (31) Changes to the supervisory panel or thesis topic do not constitute grounds for an extension of candidature or scholarship. (32) All changes to candidature shall be reported to the Research Studies Committee. (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) Human Ethics applications cannot be submitted until the Confirmation of Candidature has been successfully completed. (36) Failure to successfully undertake a Confirmation of Candidature may lead to termination of candidature. Refer part H for details on the process for termination of candidature and the appeals process. (37) Candidates must attend and participate in those candidate activities required by the College Research and Higher Degrees Committee. 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) Failure to attend candidate research events deemed compulsory by the College Research and Higher Degrees Committee may lead to termination of candidature. Refer part H for details on the process for termination of candidature and the appeals process. (39) Candidates must submit an Annual Progress Report from the second year of enrolment. The candidates report must be accompanied by a report by the candidate's Supervisory Panel. (40) Annual Progress Reports will be reviewed by the College Research and Higher Degrees Committee and a summary of outcomes reported to the College Research and Higher Degrees Committee. (41) The College Research and Higher Degrees Committee will present a summary of Annual Progress Report outcomes to the Research Studies Committee. (42) If the Research Studies Committee, on the recommendation of the College Research and Higher Degrees Committee is of the opinion that the annual report reveals serious unsatisfactory progress the Committee may terminate the candidature or take such other action as it considers appropriate. (43) Failure to complete an Annual Progress Report may lead to termination of candidature. Refer part H for details on the process for termination of candidature and the appeals process. (44) In special cases, the College Research and Higher Degrees Committee may grant leave of absence from candidature. (45) As a general guide valid reasons for leave of absence include: serious medical reasons, family/personal reasons or employment-related reasons that are causing significant disruption to the candidate's capacity to study effectively. (46) The period of such leave shall not be counted as part of the period of candidature for the degree. (47) The maximum amount of leave will normally be two sessions in any one candidature. (48) 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 for examination. (49) 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. (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. (52) Research Code of Practice (53) Supervisors and candidates must seek to resolve any problems through informal dispute resolution pathways, where possible and 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 Deans Research and other staff members. Efforts to resolve disputes through informal resolution pathways must be documented and such documents must be retained by all both parties to the dispute. Where a resolution to the dispute is reached, the resolution must be set out in a document agreed to and retained by both parties. Supervisors and/or candidates may seek advice from the Dean Research Studies. (54) Where efforts to resolve a dispute through the above informal dispute resolution pathway fails, it is open to either party to seek to resolve the dispute by formal referral to the Chair of the UWS Research Studies Committee [the Chair]. Such referral must include all documents demonstrating efforts to resolve the dispute through the informal pathway. (55) On the basis of documents provided, the Chair will determine whether the requirements of Clause 51 been met. Where it is determined that the requirements are not met, the matter will be referred back into the processes as set out in Clause (51). (56) Where the Chair determines that the requirements of Clause (51) are met and it is clear that a resolution could not be reached via that process, the Chair will establish a sub-committee of the UWS Research Studies Committee to consider the matter. The sub-committee is to meet within 21 calendar days of the receipt of the referral by the Chair. (57) The sub-committee will consist of: (58) Both parties will be notified of the date the sub-committee will meet, and may elect to make a submission to the sub-committee in relation to the matter. (59) The sub-committee will make a decision within 21 calendar days of its meeting and both parties will be provided with a copy of the decision of the sub-committee. (60) The decision of the sub-committee is final and no further appeals will be considered. (61) Where a party to the formal dispute can show evidence of procedural irregularity or unfairness, such evidence will be referred and considered in accordance with the UWS Complaint Handling and Resolution Policy. (62) Candidature may be terminated for: (63) 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 College Research and Higher Degrees Committee that the candidate be invited to show cause why the candidature should not be terminated. This recommendation may suggest that the candidate be admitted to candidature in a research masters degree. (64) The College Research and Higher Degrees Committee will refer the recommendation to request a show cause to the Research Studies Committee. The Research Studies Committee will make a decision on requesting the candidate to show cause why they should be permitted to continue their candidature. The Candidate will be told why the request has been made and they will be given ten working days from the date of the letter to respond. The Research Studies Committee will make a decision about the candidature based on the response and information from the College. (65) Where a candidate fails to attend candidate research events deemed compulsory by the College Research and Higher Degrees Committee and the College Research and Higher Degrees Committee recommends termination of candidature the matter will be referred to the Research Studies Committee for a determination with a full explanation of why the recommendation has been made. The Research Studies Committee will make a determination about continuation or termination of candidature. (66) Where a candidate fails to complete a Confirmation of Candidature and the College Research and Higher Degrees Committee recommends termination of candidature the matter will be referred to the Research Studies Committee for a determination with a full explanation of why the recommendation has been made. The Research Studies Committee may recommend conditional continuation of candidature. (67) Where a candidate fails to complete an Annual Progress Report and the College Research and Higher Degrees Committee recommends termination of candidature the matter will be referred to the Research Studies Committee with a full explanation of why the recommendation has been made. The Research Studies Committee will make a determination about continuation or termination of candidature. (68) The candidate has the right of appeal under the Higher Degree Rules Appeals Policy in respect of decisions to terminate candidature made by the Research Studies Committee under this Part. (69) The Research Studies Committee may permit a candidate to transfer a PhD candidature to the degree of Masters (Honours). (70) In such cases the Research Studies Committee will determine the period of candidature. (71) 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. (72) 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. (73) 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. (74) The Supervisory Panel must be satisfied that the thesis meets a suitable academic standard and format and presentation requirements before it may be submitted by the candidate. Supervisory panel approval for the examination to proceed will be indicated on the Examination Submission Form. The Examination Submission must be endorsed by the Associate Dean Research. (75) If the Supervisory Panel does not agree that the thesis is ready for examination, the candidate may refer the matter to the College Research and Higher Degrees Committee for determination. If examination has been refused because the thesis does not meet a suitable standard of format and presentation, referred to in clause 65, the examination will not proceed. In other cases the matter will be forwarded, with a recommendation to the Research Studies Committee for a decision. The College Research and Higher Degrees Committee may refer the matter to the 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 further academic advice from their Principal Supervisor. (76) The University does not prescribe a word limit and candidates should seek the advice of the supervisory panel. However, 100,000 words is considered to be the upper limit for doctorates. Most disciplines have a general expectation of a minimum of 60,000 words for a doctorate. (77) 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 of authenticity 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. For advice on writing the certificate of authenticity see Thesis Presentation Guidelines (78) 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. (79) 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. (80) 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 Research and Higher Degrees Committee. 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. (81) On the recommendation of the Principal Supervisor the College Research and Higher Degrees Committee shall appoint two external examiners of the thesis. (82) 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, and who has not been a member of UWS staff within the five years prior to the examination. (83) There will not normally be more than one examiner from any one institution. (84) Past Supervisors of the candidate cannot act as an examiner. (85) 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. (86) 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 to the College Research and Higher Degrees Committee who will approve the examination panel. (87) 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. (88) The examiners will be asked to assess the work to determine if: (89) 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. (90) Each examiner written report must recommend one of the following outcomes: (91) The examiners may request to submit a conjoint report. The decision to permit a conjoint report will be made by the College Research and Higher Degrees Committee, in consultation with the Supervisory Panel. (92) The examiners reports will be sent by the College Research and Higher Degrees Committee to the Principal Supervisor for comment and advice. The Principal Supervisor will prepare a written report for the College Research and Higher Degrees Committee that will recommend an initial outcome and list in detail any recommended changes to the thesis. (93) Where the examiners present recommendations of A or R the College Research and Higher Degrees Committee may approve the initial examination outcome and report its finding to the Research Studies Committee. (94) Where one or more examiners recommend X or F the College Research Studies Committee will seek the advice of the Supervisory Panel and refer the matter to the Research Studies Committee. (95) Where a "Fail" option is given the Research Studies Committee may consider a College Research and Higher Degrees Committee recommendation for the award of an M (Hons) if it is deemed appropriate by the College Research and Higher Degrees Committee. The recommendation may require resubmission and re-examination for the research masters award. (96) 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. (97) The Principal Supervisor must advise the Office of the Academic Registrar if a candidate who is re-writing will need access to the library and other facilities. (98) The 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. (99) Examination outcomes remain confidential to the candidate until a final recommendation is decided. (100) 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: (101) Option X shall be available only for initial examination of the thesis. (102) A re-examination will be conducted on the basis of specific advice given to the candidate on what must be achieved in rewriting. (103) The specific instructions to the candidate for rewriting for re-examination will be approved by the Research Studies Committee. (104) The rewriting instructions will be written by the Supervisory Panel and endorsed by the College Research and Higher Degrees Committee. (105) These instructions will be provided to the examiner for the re-examination as they will form the basis of the second examination. (106) No new criticisms may be introduced by the examiner in the second examination. (107) The examiner(s) who recommended that the thesis be re-examined shall be invited to undertake the re-examination. (108) The rewritten thesis will be presented for the second examination with a Examination Submission Form. (109) Candidates will be given a copy of each examiner's report 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. (110) When the Research Studies Committee is satisfied that all requirements have been met, it shall agree that the degree be awarded. (111) 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. (112) The candidate must submit an electronic copy of the approved thesis and a completed Right of Access Form in order to graduate. (113) 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 College Research and Higher Degrees Committee, determines in exceptional cases that it will not be made available until after the expiry of a period, which shall not normally exceed one year. (114) Forms for application for admission, variation of candidature, examination processes; nomination of examiners, thesis lodgement form and amendments completed can be found on the Office of Research Services HDR website: Information for Current Research Students. (115) This rule should be read in conjunction with the Supervisors Code of Practice and University Policies, including: (116) Scholarship recipients should consult their Conditions of Award for additional advice relating to candidature.Doctor of Philosophy Rule
Section 1 - Purpose and Context
Section 2 - Definitions
Section 3 - Policy Statement
Part A - Admission
Academic Qualifications of the Applicant
Approval of Resources, Thesis Topic and Supervisory Panel
English Language Requirements
Part B - Candidature
Conditions of Enrolment
Full or Part-time Mode of Candidature
Period of Candidature
Extension of Candidature
Changes to Supervisory Panel or Topic
Part C - Academic Progress and Review of Candidature
Measures of Achievement and Confirmation of Candidature
Presentation of Work and Participation in Activities
Annual Progress Reports
Part D - Leave of Absence
Part E - Ethics Committee Approval
Part F - Conflict of Interest
Part G - Resolution of Difficulties
Part H - Show Cause and Termination of Candidature
Part I - Transfer to another degree/award
Part J - Thesis
Part K - Examination and Award of Degree
Early Submission for Examination
Thesis Examination
Re-writing and Re-examination
Access to Examiner's Report
Award of the Degree
Section 4 - Procedures
Section 5 - Guidelines
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