• Section 1 - Purpose and Context 
• Section 2 - Definitions
• Section 3 - POLICY STATEMENT 
• Section 4 - PROCEDURES 
• Part A - Engagement and Progress
• Engagement
• Progress
• Confirmation of Candidature
• Progress Reports 
• Part B - At-Risk, Show Cause and Termination
• At-Risk Candidates
• Intervention
• Outcomes 
• Section 5 - GUIDELINES 

Section 1 - Purpose and Context 

(1) These Procedures establish the requirements for the monitoring and support of the progress of candidates in higher degree research (HDR) programs at Western Sydney University. 

(2) These procedures should be read in conjunction with the Higher Degree By Research Policy, Responsible Conduct of Research Policy and Support for Students Policy.

Section 2 - Definitions

(3) For the purposes of these Procedures, definitions that apply can be found in the Higher Degree by Research Policy and the Policy DDS Glossary, in addition to the following: 

1. Candidature Commencement Date means the official date at which the period of candidature commences in all HDR programs including Stage 2 of the Master of Research 
2. Director, Academic Program (DAP) means the academic program director for the Master of Research 
3. EFTSL has the same meaning as in the Enrolment Policy, that is - Equivalent Full-time Study Load means the measurement for a student's study-load. One EFTSL is the study load for a year of a student undertaking a program on a full-time basis. 
4. Written Work means a thesis or exegesis for a particular degree noting that – 
   1. A Thesis embodies the results of a candidate's original research and is submitted for external examination against international standards 
   2. An Exegesis is a written work that supports an exhibition or a creative piece of work. It is a critical interpretation or explication of text, a project or creative work. It has a critical part to play in contextualising the research project in the field of enquiry. The exegesis outlines the reasoning behind the research and the underpinning methodology thus explicating the nature and conduct of the research that has underpinned the creation of the performances. 
5. Research Training Program (RTP) means the Commonwealth Scheme that provides block grants annually to support the research training and skills of both domestic and international candidates undertaking higher degrees by research. 

Section 3 - POLICY STATEMENT 

(4) Refer to the Higher Degree By Research Policy. 

Section 4 - PROCEDURES 

(6) Candidates must maintain their enrolment, including re-enrolling after a period of approved leave. 

Part A - Engagement and Progress

Engagement

(7) Candidates must participate in research-relevant activities required by their School or Institute or the GRS either online or face-to-face.

(8) Candidates must present their work at least once per year at a research-related event, as agreed with their School, held by their School, Institute or GRS.

(9) For Aboriginal and Torres Strait Islander candidates, this may also include research events hosted by the Division of Indigenous Leadership.

(10) Participation in the 3MT Competition held by the School or Institute, either as a contestant or an audience member, is mandatory at least once during the candidature.

(11) The progress of candidates in HDR programs is monitored: 

1. continually by the supervisory panel  
2. at designated points in time by the relevant RHDC.  

(12) All candidates must successfully complete a Candidature Plan within the first three months (FTE). 

(13) All candidates must successfully complete a Confirmation of Candidature within the first six months for full-time candidates and 12 months for part-time candidates.

(14) All candidates must complete a Research Progress Report demonstrating satisfactory progress each year following the Confirmation of Candidature. Refer to the Higher Degree Research Procedures – Supervision

Progress

Master of Research 

(15) Candidates must complete Stage One of the Master in accordance with the Progression Policy (for part time domestic candidates this is within two years).

(16) Candidates are eligible to commence Stage Two of the Master of Research when: 

1. they meet the requirements of admission into Stage Two of the Master of Research specified in the Online Handbook and  
2. have written approval from their potential Principal Supervisor, the Associate Dean, Research and HDR or equivalent, and the Director, Academic Program (DAP) for the Master of Research. 

(17) International candidates who are part of a Partnership Agreement between Western Sydney University and a partner university for a Dual Award Research Degree should refer to the Higher Degree By Research Procedures - Dual Award Research Degrees.

(18) Stage Two Master of Research candidates complete a formal Research Progress Report at six months confirming they are on track to complete their research program within their period of candidature.

(19) Stage Two Master of Research candidates progress checks are reviewed and approved by the relevant RHDC.

(20) A summary report of all Stage Two Master of Research Candidates is provided to the Research Studies Committee (RSC) annually by each RHDC. 

(21) Where the RHDC decides that the progress check reveals unsatisfactory progress, the candidate will be notified in writing by the Principal Supervisor and Associate Dean, Research and HDR or equivalent including an intervention strategy which may include revised timelines, counselling, and/or training. 

(22) All candidates with intervention strategies must be reported to RSC. 

(23) Candidates and supervisors are responsible for implementing the intervention strategy.  

(24) The Principal Supervisor will maintain a record of the intervention strategies and regularly report outcomes to the RHDC.

(25) Where progress does not occur in line with the intervention strategy the candidate will be advised to withdraw from the program or show cause why their candidature should not be terminated.

All Other Programs 

(26) Doctoral and Master of Philosophy (MPhil) candidates have two formal progress checks: 

1. all candidates must complete a Confirmation of Candidature
2. Research Progress Reports must be completed annually by all candidates. 

(27) Doctoral and Master of Philosophy (MPhil) candidates must successfully undertake Confirmation of Candidature (CoC) within six months (FTE) for full time candidates and within 12 months for part-time candidates of their Candidature Commencement Date.

(28) Schools and Research Institutes must facilitate CoCs in a timely manner (refer to the Candidature Confirmation Guidelines).

(29) Failure to complete a first attempt at COC within the above timeframe will result in termination.    

(30) Full time candidates who do not successfully complete their first attempt at CoC have one further opportunity which must occur within three months of being notified of their failure to confirm.

(31) Part time candidates who do not successfully complete their first attempt at CoC have one further opportunity which must occur within six months of being notified of their failure to confirm.

(32) Failure to successfully complete a CoC on the second attempt will result in termination.  

Confirmation of Candidature

(33) The CoC is a formal and comprehensive process that reviews the progress made by a candidate and details a plan of the proposed research to be undertaken from the start of the candidature to completion. (Refer to the Guidelines to Writing the Confirmation of Candidature).

(34) The CoC includes a written CoC document and a presentation by the candidate of their work.

(35) The CoC review panel includes the candidate’s supervisors, the Associate Dean, R & HDR or HDR Director from the relevant School or Institute, and an independent specialist.

(36) For Aboriginal and Torres Strait Islander candidates (undertaking Indigenous research), the Director, Indigenous Research or the relevant School/Institute Associate Dean, Indigenous should be included onto the panel.

(37) The CoC eForm is used to record the outcome of the CoC.

(38) The eForm must be initiated by the Principal Supervisor prior to the candidate’s CoC presentation and includes provision of completed supporting documentation (CoC document, project timeline, project budget, data management plan, risk assessment, Supervisor-HDR Candidate Agreement). 

Progress Reports 

(39) Candidates must submit a Research Progress Report annually. Refer to the Higher Degree Research Procedures – Supervision

(40) For Doctoral and Master of Philosophy (MPhil) candidates the first progress report is due within six months (FTE) of their confirmation of candidature. 

(41) For all candidates, subsequent progress reports are due within twelve months of their first progress report and within every twelve months thereafter. 

(42)  Progress reports are reviewed and endorsed by the relevant RHDC. 

(43) Where the RHDC decides that the progress report reveals unsatisfactory progress, the candidate will be notified in writing by the Principal Supervisor and Associate Dean, Research and HDR or equivalent including an Intervention Strategy which may include a revised timelines, counselling, and/or training or a recommendation to transfer from a PhD program to an MPhil program, where appropriate.  

(44) All candidates with an Intervention Strategy must be reported to the Dean, GS & RD.  

(45) Candidates and supervisors are responsible for implementing the Intervention Strategy.   

(46) The Associate Dean, Research and HDR will maintain a record of the Intervention Strategy and regularly report outcomes to the RHDC. 

(47) Where progress does not occur in line with the Intervention Strategy the candidate will be advised to withdraw from the program or show cause why their candidature should not be terminated. 

(48) Failure to submit a progress report on time can be grounds for initiating the show cause process.

Part B - At-Risk, Show Cause and Termination

At-Risk Candidates

(49) Stage One Master of Research ‘At Risk’ candidates will be provided with support as outlined in the Progression Policy.  

(50) For all other candidates, candidature will be assessed for being ‘At Risk’ if:  

1. they fail to meet any milestone or aspect of their Candidature Plan on time. This includes requiring a second attempt at their CoC 
2. a breakdown in the relationship between the candidate and supervisor occurs 
3. the viability of the research project is affected 
4. other factors as identified by the Associate Dean, Research and HDR or HDR Director from the relevant School or Institute (or delegate). 

(51) Candidates identified as ‘At Risk’ must attend a meeting with the Associate Dean, Research and HDR or equivalent to discuss the reasons for their situation and what interventions may be appropriate. 

(52) For Aboriginal and Torres Strait Islander candidates, the Director, Indigenous Research will be included in the discussions.

(53) The Candidate must be provided with 10 working days notice of the meeting which includes meeting details, the purpose of the meeting, right to bring a support person and availability of assistance through the University's student support services. 

(54) Within 10 working days following the meeting, the candidate will be advised by the Associate Dean, Research and HDR or equivalent in writing of the Intervention Strategy to be implemented including clear objectives, agreed outcomes, and timeframes. 

(55) The Intervention Strategy may include advice to the candidate that they withdraw from the program.

Intervention

(56) If the agreed outcomes from an Intervention Strategy are not met, then the Associate Dean, R & HDR or equivalent must report to the RHDC recommending one of the following options: 

1. recommend that the candidate be transferred from a PhD program to an MPhil program  
2. recommend that the candidate be asked to Show Cause as to why the candidature should not be terminated 
3. recommend that the candidature be terminated  

(57) The candidate must be notified in writing by the Associate Dean, R & HDR of the recommendation and referral to the RHDC and be encouraged to engage with the University Wellbeing Services for support. 

(58) The case to the RHDC must clearly identify the issues of concern and include:  

1. written evidence when candidate was informed of the unsatisfactory progress or problem   
2. written evidence of the welfare considerations for the candidate  
3. written evidence of the Intervention Strategy 
4. written evidence that the candidate failed to satisfactorily engage with the Intervention Strategy 
5. written statements by the Principal Supervisor and Associate Dean, R & HDR or equivalent summarising the reasons for the recommended action.  

(59) The options available to the RHDC are:   

1. reject the case on the grounds of insufficient evidence and make a request for further clarification  
2. endorse a different course of action 
3. endorse the action recommended and refer the matter to the Dean, GS & RD for further consideration  

(60) The Dean, GS & RD may:   

1. reject the case on the grounds of insufficient evidence and make a request for further clarification  
2. approve a different course of action  
3. approve the recommendation endorsed by the RHDC.  

(61) The candidate must be notified in writing of the outcome by the Dean, GS & RD, via their official student email account, within 10 working days of the decision.  

Outcomes 

(62) Where the candidate has been provided an opportunity to show cause as to why they should not have their candidature terminated they must respond in writing within 10 working days to the Dean, GS & RD. The candidate may request an extension to provide their response. 

(63) The case to support their continued candidature must include:  

1. what caused their unsatisfactory progress or problem that was not known to their supervising panel, and / or 
2. evidence of a lack of procedural fairness or a process applied in contravention to these Procedures, and  
3. evidence that they are able to complete within the remaining candidature time.   

(64) The Dean, GS & RD will make one of the following determinations:  

1.  the Show Cause case has been accepted and the candidature may continue  
2. the Show Cause case has not been successful, and the candidate has made unsatisfactory progress. In this case the Dean, GS & RD may decide that:  
   1. the candidate may transfer from a doctoral to an MPhil program, or  
   2. the candidature will be terminated, or 
   3. a different course of action.   

(65) The candidate will be advised in writing by the Dean, GS & RD of the decision within 10 working days.  

(66) If the candidate is to continue, the terms will be included in the advice provided to the candidate, with a copy to the Principal Supervisor, Associate Dean, R & HDR or equivalent, and the relevant RHDC. 

(67)  Where the decision is to terminate, the candidate will be sent a Notice of Intention to Terminate Enrolment which outlines: 

1. the grounds for termination of candidature 
2. the right to lodge an internal appeal under the Academic Appeals Procedures, within 20 working days from the date the advice 
3. where applicable, 20 working days notice of intention to cancel the candidate’s confirmation of enrolment which may lead to cancellation of the candidate’s student visa 
4. the candidate’s right to lodge an external appeal with the NSW Ombudsman’s Office if the candidate’s internal appeal outcome was not successful. The candidate must be advised of the contact details for the NSW Ombudsman’s Office in accordance with the National Code. 

Section 5 - GUIDELINES 

(68) HDR Knowledge Articles