Policies and procedures
Academic regulations for the Degree of Doctor of Philosophy (by Portfolio of Publications)
These Regulations form part of Research Policy 10 Higher Degrees by Research.
1. Preamble
2. The degree and admission criteria
3. Research Degree Graduate Qualities
4. Application for admission
5. Enrolment and re-enrolment
6. The program of study and research
7. Supervision requirements
8. Monitoring progress
9. Unsatisfactory progress
10. Suspension
11. Termination of enrolment
12. Academic integrity in research
13. Grievance procedures
14. The thesis
15. Examination of the thesis
16. Examinations panel
17. Final grades and transcript notations for non-enrolled
candidates
18. Reinstatement/ re-admission
19. Eligibility for the degree
20. Intellectual property
21. Quality control
Appendix 1: Guidelines for the preparation of research statements for the
degree of Doctor of Philosophy (by Portfolio of Publications)
Appendix 2:
Requirements for the presentation of theses
Appendix 3: Statement of minimum resources for
higher degree by research students
Appendix 4:
Research Degree Graduate Qualities
Appendix 5: Academic integrity in
research
1.1 Research Degrees Committee is responsible to Academic Board for the conduct of all matters pertaining to Higher Degrees by Research programs. The Committee is also responsible for the administration of these Regulations in accordance with the University's policies.
1.2 These Regulations specify the general conditions for the award of Doctor of Philosophy (PhD) (by Portfolio of Publications). The PhD (by Portfolio of Publications) enables the degree of PhD to be awarded to candidates on the basis of their original and substantial scholarly contribution to knowledge as demonstrated in publications.
1.3 'Publications' in this program can include written texts such as books, articles in journals, conference papers and substantial commissioned research reports. It can also include work which does not take the form of written text, such as productions, exhibitions, designs or performance of a literary or creative work appropriate to the candidate's discipline or medium presented as a durable visual record. Whatever form the published work takes it is necessary that it should, at the very least, have been accessible within the public domain and have undergone a refereed or substantive peer review process.
1.4 The purpose of the program is to allow formal recognition of established researchers and/or scholars who:
a. do not already hold a PhD qualification
b. have substantial international standing in their respective fields on the
basis of their ongoing record of academic publication (work), and
c. for whom enrolment in the existing 'standard' PhD (by thesis) program would
be inappropriate.
1.5 The thesis to be presented for examination will consist of:
a. a portfolio of refereed publications (as defined above) based
on original research and
b. a substantive integrating written component.
1.6 The substantive integrating written component is to set out:
a. an argument linking the papers together into a coherent theme and
b. the way the publications submitted represent an advance in knowledge in
the candidate's discipline or field, or
c. the application of new knowledge or critical inquiry in original ways,
or
d. new expressions of knowledge or critical creative insight.
1.7 The integrating written component must also contain a substantial theoretical component relevant to the candidate's discipline or field. There is no stipulated word length as what is appropriate will vary with the nature of the submitted work and the candidate's discipline or field. Any additional research to be undertaken should only be directed towards the development of the integrating theme.
1.8 The total submission must be at a standard appropriate for the award of the degree of PhD.
1.9 Previous association with the University is not required.
2.1 The degree will be awarded to a candidate who, through published work of which the candidate is either sole author or joint author, has made a significant original scholarly contribution to knowledge and demonstrated a capacity for independent research, as judged by independent experts applying appropriate international standards.
2.2 The published work may be based on or manifested in rigorous experimental, theoretical, creative, empirical and/or design inquiry. The standard for the degree will be the same as that required for the degree of Doctor of Philosophy at University of South Australia.
2.3.1 An applicant for admission to candidature for the PhD (by Portfolio of Publications) degree must satisfy the Research Degrees Committee that they:
a. are an established researcher and/or scholar, and
b. hold or are eligible to hold from an approved higher education
institution an award in an appropriate discipline which is assessed by this
University as being equivalent to:
i an Honours degree or a Bachelors degree with honours of at
least class 2A standard; or
ii an appropriate Masters degree; or
c. hold such other qualifications as are acceptable to the Research Degrees Committee - in such cases the applicant must satisfy the Committee of fitness to undertake further advanced work on the basis of the standard of achievement in, and the relevance of, previous higher education studies, professional experience and published research work.
2.3.2 An applicant who has already been awarded a PhD will not be admitted to the degree.
2.3.3 An applicant who is pursuing, or who has previously pursued within the previous three years, a program of research under the University's Doctoral Degrees Policy, or an equivalent at another Australian or overseas university, will not be admitted to candidature.
3.1 The University has defined the full range of competencies embedded in the higher degree by research experience in its statement of Research Degree Graduate Qualities (see Appendix 4). These qualities or competencies are considered to be transferable from the research environment to the workplace, whether academic or professional.
3.2 As part of their research training, candidates are required to participate in Research Education Support Activities, the bases for which are the processes that develop the seven generic Research Degree Graduate Qualities.
3.3 Participation in Research Education Support Activities is negotiated between the candidate and supervisors in the Statement of Agreement, taking into account elaboration of the Research Degree Graduate Qualities in terms of the particular needs of the candidate and the particular field of their research. Participation may be reviewed and modified in subsequent planning and reviews of progress meetings between the candidate and supervisor.
3.4 Candidates who commenced their research after 1 January 2004 are required to complete a Final Review of Progress, which provides evidence of achievement and experience in the seven areas of the Research Degree Graduate Qualities. Together, the thesis and the Final Review of Progress provide information about the totality of individual achievement in the doctoral program.
4.1.1 An application for admission to candidature shall be made on the prescribed application form and shall include a research statement, prepared in negotiation with the proposed Principal Supervisor. The research statement should be prepared in accordance with the guidelines appended to these Regulations (Appendix 1).
4.1.2 In order to demonstrate the applicant is an established researcher, the application must also include the following:
a. a copy of the applicant's curriculum vitae
b. in chronological order, copies of the publications the contents of which
are intended for inclusion in the thesis together with appropriate proof of
peer review, eg DEEWR requirements or internal UniSA publication guidelines.
The published work intended to be included in the thesis shall not normally
be more than 10 years old at the time of application and must have been
published in English, or if not, a certified translation must be supplied
c. a statement that published works or the contents have not been included
in any other work leading to an academic award
d. a statement making clear the extent of the applicant's contribution to
each jointly authored publication. All authors for each jointly authored
publication must sign a declaration that demonstrates the percentage of
their contribution for each publication
e. a statement and evidence to enable assessment of ethical acceptance.
4.1.3 The Research Degrees Committee shall appoint an Admissions Panel comprising the Dean of Graduate Studies, or nominee, the relevant Dean Research (or equivalent), or nominee, two other members of Research Degrees Committee and a senior member of the academic staff with expertise in the specialised area of the application. The following factors will be taken into consideration when assessing the application:
a. the qualifications and experience of the applicant
b. the detailed research statement submitted by the applicant which may
include any additional research required (see Appendix 1). Any additional
research should only be directed towards the development of the integrating
theme
c. a statement of willingness by the Principal Supervisor to supervise the
proposed program
d. the suitability of the proposed program of study and the research topic
for a PhD degree
e. whether the proposed program of study conforms to the University's
research profile and mission of the University
f. whether adequate supervision and physical and financial resources are
available
g. a commitment by the applicant to work regularly on the approved program
of study and to maintain regular contact with the supervisor(s) and Research
Degree Coordinator
h. the assessment of ethical considerations and
i. the assessment of intellectual property considerations.
4.1.4 The Admissions Panel shall consider the submission and where, in the opinion of the panel the applicant:
a. satisfies the entry requirements, and
b. has a substantial record of ongoing research and publications, and
c. has submitted a portfolio that is prima facie worthy of examination for
a PhD by Portfolio, notwithstanding the requirement for a substantive
written component as described in Section 14.3
it shall make recommendation on admission and may set conditions on an offer of admission.
4.1.5 Any admissions shall be reported to Research Degrees Committee.
4.1.6 The Dean of Graduate Studies will have responsibility to ensure that the members of the Admissions Panel are independent of the applicant.
4.1.7 The Research Degrees Committee reserves the right to seek referees' reports.
4.1.8 The Research Degrees Committee reserves the right not to offer a place.
4.1.9 A tuition fee may apply for undertaking this degree.
5.1 An applicant will be required to enrol and pay all charges.
5.2.1 An applicant who accepts an offer of admission to candidature for a Doctor of Philosophy (by Portfolio of Publications) degree by research shall commence within the time specified in the letter of offer unless a written request for a deferment of enrolment is recommended by the Dean Research (or equivalent) and approved by the Dean of Graduate Studies.
5.2.2 Failure to enrol within the specified time subject to clause 5.2.1 may result in a candidate forfeiting their right to a place.
5.3.1 Candidature will commence from the date of enrolment, unless otherwise determined by the Research Degrees Committee.
5.3.2 Candidates must comply with the enrolment dates indicated by the University.
5.4.1 An enrolled candidate shall be re-enrolled in each calendar year following initial enrolment until the thesis has been submitted for examination, or the maximum period of allocated candidature is reached, or until suspension or termination of the enrolment by the Research Degrees Committee, whichever comes first.
5.4.2 Re-enrolment is subject to approval by the Research Degrees Committee upon recommendation from the relevant Dean Research (or equivalent), who shall review and report annually on the progress of each of its candidates.
5.4.3 Where progress is deemed to be unsatisfactory, the Research Degrees Committee may suspend or terminate the enrolment of a candidate on a recommendation to that effect by the Dean Research (or equivalent).
5.4.4 No candidate is required to be enrolled for a study period during which leave of absence has been approved for the whole of that study period (for this purpose, a study period is defined as either 1 January to 30 June, or 1 July to 31 December).
5.5.1 Enrolment in the program can be on a full time or part time basis. The normal maximum length of enrolment will be the equivalent of 3.5 years for full time enrolment. Doctoral candidates are allocated a maximum of four years of full-time equivalent study to complete the degree and to allow for examination results.
5.5.2 The minimum period of enrolment will be twelve months.
5.5.3 The period of maximum candidature as outlined in 5.5.1 excludes periods of deferment and leave of absence granted by the Research Degrees Committee (refer to clauses 5.9 and 5.10).
5.5.4 If the thesis has not been examined within the period of maximum enrolment, the candidate shall be required to show cause to the Research Degrees Committee why enrolment should not be deemed to have lapsed and supervision discontinued.
5.5.5 Requests to go over the allocated time of candidature must be applied for on the appropriate form. A candidate shall not assume that the request has been approved unless they have been notified by the Graduate Studies Office.
The following clauses may not apply to international candidates on an Australian government visa, who may only take limited leave on medical, exceptional or compassionate grounds.
5.6.1 A candidate may change load from full-time to part-time candidature, or vice versa, provided that the Research Degrees Committee approves a recommendation from the Dean Research (or equivalent) to that effect.
5.6.2 Requests for change of load should be made on the appropriate form. After approval, the candidate's expected completion date will be revised accordingly and the candidate notified.
The following clauses may not apply to international Candidates on an Australian government visa, who may only take limited leave on medical, exceptional or compassionate grounds.
5.7.1 A candidate may change mode from internal to external candidature, or vice versa, provided that the Research Degrees Committee approves a recommendation from the Dean Research (or equivalent) to that effect.
5.7.2 Requests for change of mode should be applied for on the appropriate form. A candidate shall not assume that the request has been approved unless they have been notified by the Graduate Studies Office.
5.8.1 A candidate may not enrol in a program leading to the award of another degree at this or another institution while enrolled in a higher degree by research program at this University.
5.8.2 Under exceptional circumstances, a candidate may be permitted to enrol in a second program that complements the higher degree by research.
5.8.3 The candidate must make a case to the Dean of Graduate Studies for permission to enrol in a second program, including evidence of academic achievement that indicates that the studies to be undertaken will not impact adversely on the progress of the research degree. The request must have the strong support of the supervisors and the Dean, Research (or equivalent).
5.8.4 Any hours devoted to such concurrent study are to be included within the time allowance for paid employment.
5.8.5 In each major review of progress, the supervisors will be required to advise if the concurrent enrolment has impacted adversely on the candidate’s progress in the program. If progress is not satisfactory, approval for concurrent enrolment will be rescinded.
5.8.6 A candidate may be required to enrol in such complementary courses at this University as may be prescribed by the Research Degrees Committee.
The Research Degrees Committee, acting on the advice of the relevant Dean Research (or equivalent), may permit the deferral of the initial enrolment (refer clause 5.2) for a period not exceeding twelve months.
All candidates are entitled to twenty days recreation leave in each full-time equivalent year of enrolment. This is not deemed to be leave of absence for the purpose of calculating consumed candidacy load.
The following clauses may not apply to international Candidates on an Australian government visa, who may only take limited leave on medical, exceptional or compassionate grounds.
5.10.1 The Research Degrees Committee, acting on the advice of the relevant Dean, Research (or equivalent), may permit a candidate to take leave of absence after enrolling but not within the first six months of enrolment unless there are exceptional circumstances.
5.10.2 Any type of leave of absence taken during candidature will count towards the total amount of leave. This applies to both full-time and part-time candidates.
5.10.3 Prior to commencing the leave, a request for leave of absence should be made on the appropriate form. Normally, retrospective leave will not be approved. The candidate will be notified by the Graduate Studies Office of the outcome of their application.
5.10.4 Normally, leave of absence for reasons other than in 5.10.12 may only be taken for a maximum of six calendar months at any one time.
5.10.5 Normally, leave of absence will not be approved for a candidate who has exceeded the allocated period of candidature (see clause 5.5).
5.10.6 The total period of the leave of absence accumulated in a given candidature will not normally exceed twelve calendar months. However, if the Research Degrees Committee deems the circumstances to be exceptional, leave in excess of twelve calendar months may be granted.
5.10.7 A candidate requiring leave in excess of twenty four calendar months must apply to the Dean of Graduate Studies. Any application for this leave must be justified by the candidate and shall include a supporting statement from the Principal Supervisor and be supported by the Dean Research (or equivalent).
5.10.8 Reasons for leave of absence include medical, adoption, maternity, carer's leave, family leave, personal and financial.
5.10.9 A candidate is entitled to three months maternity leave during the candidacy. A candidate holding a University-funded scholarship who has completed twelve months of their award will be entitled to three months paid maternity leave.
5.10.10 A candidate is entitled to ten days carer's leave in each calendar year. A candidate holding a University-funded scholarship who has completed twelve months of their award will be entitled to ten days paid carer's leave in each calendar year.
5.10.11 A candidate whose partner gives birth or adopts is entitled to ten days parental leave. A candidate holding University-funded scholarships and who has completed twelve months of their award will be entitled to ten days paid parental leave.
5.10.12 In exceptional circumstances, leave of absence of up to twelve calendar months may be granted to a candidate wishing to enrol for a program leading to the award of another degree or diploma, provided that:
a. the program is complementary to the Candidate's program of research and
b. the leave and program are justified by the Candidate and
c. the leave has the strong support of the Principal Supervisor.
Leave undertaken for this purpose will count towards the total amount of leave to be taken.
(Also see clause 5.8 Concurrent Enrolment)
5.10.13 At the discretion of the Dean of Graduate Studies, a candidate may be placed on administrative leave for up to six months where progress is being impeded for reasons such as change of supervision or approval of change to the program of research.
This section does not apply to HDR transnational, offshore or Jointly Badged PhD candidates.
5.11.1 In all cases where a candidate is studying away from the University to pursue research overseas or interstate for more than six weeks at any one time, the candidate must obtain written permission from the Dean of Graduate Studies.
5.11.2 International candidates are required to ensure their proposed arrangements to study away from the University do not conflict with their visa requirements.
5.11.3 Requests to study away from the University, either overseas or interstate, must have a supporting statement from both the supervisor and the Dean Research (or equivalent). This statement will include arrangements for supervision.
5.11.4 Normally, a request to study away from the University within the first six months of full-time equivalent enrolment will not be supported.
5.11.5 Normally, the maximum period of study away from the University will be six months.
5.11.6 A candidate may include recreational travel during their time of study away but approval must be obtained prior to travel.
5.11.7 A candidate cannot use the length of time spent overseas as a reason for either an extension of candidacy or scholarship.
5.11.8 A candidate permitted to study away from the University must comply with the requirements of the overseas institution, undertake appropriate health and vaccination advice, consult regularly the Australian Government’s travel advisory and ensure appropriate insurance cover is held.
A candidate who wishes to withdraw should immediately complete the appropriate form and submit it to the Principal Supervisor in the first instance.
6.1.1 A candidate shall normally undertake a program under supervision in order to complete a thesis for examination, based on a portfolio of publications (see section 13.3).
6.1.2 During the program, a candidate may be required to study courses and pass such examinations as the Research Degrees Committee may prescribe on the recommendation of the Dean Research (or equivalent) and the Principal Supervisor. A candidate is also expected to undertake Research Education Support Activities during the first year of enrolment.
6.1.3 The research and study shall be carried out either within the University or within an industrial, commercial, government, educational, research or other organisation approved by the Dean Research (or equivalent). The University will not require a candidate to undertake employment at the institution.
6.1.4 The primary role of each full-time PhD and Masters by Research candidate is to work on their thesis and for all Candidates, to complete the degree within the maximum allocated time of enrolment.
6.1.5 A candidate commencing after 1 January 2004 will enter into a formal Statement of Agreement with the supervisors regarding the completion of the research. This Agreement will:
6.1.6 A candidate studying on campus is required to attend the Orientation Session and is also expected to participate in the on campus Research Education Support Activities. Candidate studying off campus is required to watch the Orientation DVD and participate in online Research Education Support Activities.
6.1.7 The Research Degrees Committee recommends that full-time candidates do not undertake paid employment for more than eight hours per week or for a total of the equivalent of eight hours per week over a twelve month period.
Candidates must have their research statement approved prior to commencement of candidature (see clause 4.2.1).
See Appendix 1 for Guidelines on the preparation of Research Statements.
The requirements, authorities and procedures for the appointment of postgraduate research supervisors are outlined in Policy RES 8 Register of Postgraduate Research Degree Supervisors.
7.1.1 Supervisors are appointed on the basis that their research expertise is appropriate to the research outline indicated in the application.
7.1.2 At the time of application, the relevant Dean Research (or equivalent) is responsible for ensuring that each candidate has a Principal Supervisor appointed.
7.1.3 Unless co- or panel supervision is required, each candidate shall have at least two supervisors appointed, one of whom shall be nominated as a Principal Supervisor and one as an Associate Supervisor.
7.1.4 A person external to the University appointed as Principal Supervisor to a candidate must be accepted as an Adjunct to the University and must be a member of the Register of Postgraduate Research Degree Supervisors.
7.1.5 The Division/ Institute shall ensure that resources, including supervision, are available for the research project in line with the University's Statement of minimum resources for Candidates.
7.2.1 Where appropriate, co-supervision may be established for a candidate in lieu of a principal and associate supervisor. Co-supervision occurs where two academic staff members share responsibility for the principal supervision of a candidate. Co-supervision may be preferred in instances where expertise is desired in more than one research area and where the research is cross-disciplinary.
7.2.2 Co-Supervisors must be members of the University’s Register of Postgraduate Research Degree Supervisors.
7.2.3 For administrative purposes, the co-supervisor employed by the School or Institute in which the Candidate is enrolled is recorded as the Principal Supervisor and is preferred as the signatory for forms. Other co-supervisors will be recorded as 'co- supervisor'.
Supervisors shall carry out the duties and responsibilities as set out in the Code of Good Practice: Research degree management and supervision and in Research Policy 8, Register of Postgraduate Research Degree Supervisors.
In the event that the designated Principal Supervisor is unable to supervise the candidate effectively for a period of six weeks or more, the Dean Research (or equivalent) in consultation with the Research Degree Coordinator, Head of School/Institute Director and candidate shall nominate a replacement supervisor for approval by the Research Degrees Committee, using the appropriate form.
8.1.1 A candidate must make satisfactory progress in the research to obtain approval for re-enrolment in the program.
8.1.2 A candidate shall have the right to discuss any matter pertaining to the progress of the candidature with the Principal Supervisor, the Research Degree Coordinator or the relevant Dean, Research (or equivalent), as appropriate, to resolve any impediment to that progress.
8.1.3 Each candidate, Principal Supervisor and Research Degree Coordinator must undertake at least two documented planning and review sessions each year. These will be known as the minor review and major review respectively. These reviews are the basis on which re-enrolment or otherwise is recommended.
8.1.4 For candidates commencing after 1 January 2004, the Statement of Agreement shall inform the review of progress. For continuing candidates, the previous planning and review documents will be the basis of the review.
8.1.5 Failure by a candidate to undertake the minor and major reviews may result in suspension or termination of the candidature (see clauses 10 and 11).
The planning, review and report of progress shall be conducted in accordance with the following procedures:
8.2.1 It is the candidate's responsibility to arrange separate times to discuss progress with supervisors and, if required, the Research Degree Coordinator. These meetings may occur face-to-face, by telephone or by email. It is recommended that the candidate and supervisor retain copies of the completed review forms.
8.2.2 The purpose of such discussions is to review the candidate’s progress over the previous six months and to discuss a plan of work for the coming six months. Supervisors other than the Principal Supervisor should also be involved in this process.
8.2.3 As a requirement of the major review, or more often if deemed necessary, the candidate and Principal Supervisor shall submit to the Research Degree Coordinator a completed major review form, including a written report of the progress made towards the stated objectives of the program of study and research.
8.2.4 The Research Degree Coordinator may require an interview with the candidate and Principal Supervisor in order to discuss progress or resolve any issues of concern raised in a review.
8.2.5 The Research Degree Coordinator shall add any appropriate comments to the report and then forward it to the Dean Research (or equivalent).
8.2.6 After considering such reports, the Dean Research (or equivalent) shall review each candidate’s progress and shall report to the Research Degrees Committee at least annually, on whether:
a. the candidate's academic progress is deemed to be satisfactory and if
the candidate is to be re-enrolled;
b. any scholarship held should be continued in line with the scholarship
conditions;
c. the enrolment is to be subject to the candidate meeting specified
research milestones and timelines agreed with the Supervisor, and/or subject
to additional reviews of progress;
d. the process through which specific problems and concerns relating to a
candidate's progress, and the actions taken to address them, are officially
recorded;
e. any fundamental changes are required in the program of study or
research;
f. a grievance case involving the candidate has been presented to the Dean
Research (or equivalent), whether or not this has been resolved, and details
of action(s) taken.
8.2.7 Where there are concerns about the progress of Candidate the Dean Research (or equivalent) shall provide a copy of the complete report of progress to the candidate and inform them in writing of the requirements necessary to make satisfactory progress. The candidate may be required to undertake additional reviews and report of progress.
8.2.8 A candidate shall have the right to discuss a review report and the comments by the Principal Supervisor with the Dean Research (or equivalent).
8.2.9 In the event that a problem which is impeding progress is not resolved through the review procedure, the candidate has the right to submit a case to the Dean of Graduate Studies for investigation.
9.1 Unsatisfactory progress is defined to be where, in the opinion of the Dean Research, (or equivalent), the candidate:
a. has failed to meet agreed timelines and milestones;
b. is absent without approved leave for more than six months;
c. has failed to submit their research for examination within the
prescribed time;
d. has failed to otherwise comply with the policy, procedures or
Regulations of the University.
9.2 The Dean Research (or equivalent), upon receipt of a review of progress, or at any other time, can review a candidate’s progress, taking into account the recommendations of the supervisors and the Research Degree Coordinator.
9.3 If the Dean Research (or equivalent) deems that progress is unsatisfactory (refer clause 9.1), they may allow a candidate to continue subject to such conditions as they wish to impose. The Dean Research (or equivalent) is to inform the Candidate in writing of the conditions and the timelines.
9.4 If conditions established in clause 9.3 are not met in the required time and progress continues to be deemed unsatisfactory, the Dean Research (or equivalent) may recommend to the Dean of Graduate Studies that the candidate's enrolment be suspended or terminated (refer clauses 10 and 11).
10.1 If a candidate's progress in the program is considered by the Dean Research (or equivalent) to be unsatisfactory, the candidate’s enrolment may be suspended pending approval from the Research Degrees Committee.
10.2 The Dean Research (or equivalent) will advise the candidate of the reasons that the suspension has been recommended and appropriate action required to have their enrolment re-instated.
10.3 A candidate who is suspended may appeal to the Dean of Graduate Studies to be reinstated.
10.4 A candidate whose candidacy is suspended will have a notation marked on the transcript in accordance with clauses 17.3 and 17.4 of these Regulations.
11.1 If the Dean Research (or equivalent) considers Candidate's academic progress to be unsatisfactory and not likely to result in the student being able to complete the thesis in a timely manner, the Dean Research (or equivalent) may recommend to the Divisional Research Management Committee (or equivalent) that the candidate's enrolment be terminated (also see clause 17.2).
Division/Institute Inquiry
11.2.1 Upon the making of a recommendation under clause 11.1, the Dean Research (or equivalent), as Chair of the Division Research Management Degrees Committee (or equivalent), will establish a panel of at least three University's academic staff members from the discipline area and who are members of the University's Register of Research Degree Supervisors. The panel will consider the candidate's academic progress and whether there are any grounds for termination of enrolment.
11.2.2 The Dean Research (or equivalent) will write to the candidate notifying him/her of the Division/Institute inquiry under clause 11.2.1. the letter from the Dean Research (or equivalent) must, at a minimum:
11.2.3 The candidate will have ten working days from the date of despatch of the letter under clause 11.2.2 to advise their intention to attend the Division/Institute inquiry.
11.2.4 The candidate is entitled to invite a UniSA Students Association nominee, or any staff member or student nominee of the University, to be present at the panel meeting.
11.2.5 The panel meeting will proceed on the scheduled date regardless of whether or not the candidate has responded in accordance with clause 11.2.3 or fails to attend at the scheduled time.
11.2.6 Within ten working days of the panel meeting, the panel’s recommendation will be made available to the Division/Institute Research Management Committee (or equivalent).
11.2.7 Within ten working days of the meeting, the Dean Research (or equivalent) will notify the candidate, in writing, of the Division/Institute Research Management Committee's decision. If the recommendation is to proceed with termination of enrolment, the letter under this clause will include a detailed description of why the student’s progress has been found to be unsatisfactory and outlining the process for termination of enrolment.
Research Degrees Committee inquiry
11.2.8 If the Division/Institute Research Management Committee (or equivalent) recommends that the candidate's enrolment be terminated, the Dean Research (or equivalent), will make a recommendation to the Chair of the Research Degrees Committee and include detailed reasons as to why the candidate's progress has been found to be unsatisfactory, together with a copy of the relevant correspondence with the student.
11.2.9 Upon receipt of a recommendation under clause 11.2.8, the Chair and Executive Officer of the Research Degrees Committee will consider all documentation relating to the recommendation and ensure that due process has been followed.
11.2.10 For the purposes of considering the documentation under clause 11.2.9, the Chair and Executive Officer of the Research Degrees Committee may appoint a sub-committee, comprising at least five academic members of RDC.
11.2.11 The Executive Officer of the Research Degree's Committee or the sub-committee as appropriate will give the candidate ten working day’s notice and invite the student to meet with the members in order to present a case as to why the enrolment should not be terminated. The candidate may be assisted or represented at the Research Degree Committee’s inquiry by the UniSA Students Association or nominee or any staff member or student nominee of the University.
12.2.12 The RDC inquiry will proceed regardless of whether the candidate responds to the RDC Executive Officer or attends at the scheduled time.
11.2.13 The Chair of any sub-committee appointed under clause 11.2.10 will make a recommendation on the outcome of the RDC inquiry with the candidate to the full Research Degrees Committee.
11.2.14 Within ten working days of the RDC recommendation, the Chair of the Research Degrees Committee shall notify the candidate of the outcome of the RDC inquiry. Where a recommendation that enrolment be terminated is accepted by the Research Degrees Committee, the candidate shall be notified of the grounds for the recommendation.
11.2.15 A candidate may appeal against the Research Degrees Committee's decision to terminate the enrolment (see Appeals process, clause 11.3).
11.2.16 A candidate whose enrolment is terminated will have a notation marked on his/her transcript in accordance with clause 17.2 of these Regulations.
11.3.1 If a candidate wishes to appeal against the final determination of the Research Degrees Committee, the appeal should be lodged with the Dean of Graduate Studies within ten working days of the date of despatch of the notification from the Chair, Research Degrees Committee.
11.3.2 The appeal will be heard by the Student Appeals Committee (see Assessment Policies and Procedures Manual, Section 11 - PDF file, 992kb).
11.3 .3 The decision of the Student Appeals Committee will be final.
The University aims to foster and preserve the scholarly values of curiosity, experimentation, critical appraisal and integrity and to foster these values in its candidates. It is expected that candidates and supervisors will comply with the national code on ethical practice published by the AVCC/NH&MRC and will adhere to high standards of academic integrity and honesty at all times. Failure to do so may constitute academic misconduct.
Candidates will be made aware of the importance of academic integrity when they accept a place at UniSA. As part of the Statement of Agreement, Principal Supervisors will make candidates aware of the University's policies on plagiarism and ethical standards of research.
Refer to Appendix 5 for Academic misconduct procedures in higher degrees by research.
All grievances and complaints by candidates not covered under these Regulations should be dealt with under University Policy C-17.3 Policy and Procedures for the Resolution of Student Grievances. The Dean, Research (or equivalent) shall report any grievance or complaint made by candidate on the major review form.
Each candidate must submit a body of research work for examination. This is known as a thesis.
A candidate shall give the Dean Research (or equivalent) not less than one month's notice in writing of intention to submit a thesis for examination and, at the same time, an electronic summary of not more than 500 words on the content of the thesis. The summary will be forwarded to the examiners when they are invited to examine the thesis. (Also refer to Section 15.2 Appointment of Examiners.)
Refer to Appendix 5, Academic Integrity in research
14.2.1 The work on which the thesis is based shall be the original work of the candidate normally carried out with the approval of the Research Degrees Committee during the period of the candidature.
14.2.2 Work that has been submitted for any other academic award may not be submitted as the main content of the thesis. Where the main content of the thesis consists of any significant extension or elaboration of the candidate's earlier work, that portion referring to previous work must be clearly indicated. Work undertaken as part of any qualifying program approved by the Research Degrees Committee may be taken into account as part of the work for the degree for which that program qualified.
14.2.3 A candidate shall normally make a formal presentation of the thesis to a Division/Institute/School/ Research Centre seminar prior to the commencement of the examination process.
14.3.1 The thesis will consist of:
a. a portfolio of refereed publications (as defined in the Preamble) based
on original research and,
b. a substantive integrating written component.
14.3.2 The substantive integrating written component is to set out:
a. an argument linking the papers together into a coherent theme and
b. the way the publications submitted represent an advance in knowledge in
the candidate's discipline or field, or
c. the application of new knowledge or critical inquiry in original ways,
or
d. new expressions of knowledge or critical creative insight.
14.3.3 The total submission must be at a standard appropriate for the award of the degree of PhD.
14.3.4 The integrating written component must also contain a substantial theoretical component relevant to the candidate's discipline or field. There is no stipulated word length, as what is appropriate will vary with the nature of the submitted work and the candidate's discipline or field. Any additional research should only be directed towards the development of the integrating theme.
14.3.5 The publications must have been subjected to peer review. There is no minimum number of publications specified. It is expected that for the majority of publications, the applicant will be the sole or first named author. The publications submitted should follow a coherent theme and be of a sufficient number for the body of work to constitute a substantial and original contribution to knowledge.
14.3.6 The submission will not include unpublished work, review articles, newspaper articles, articles in non-refereed professional journals, work that had already been submitted successfully or unsuccessfully for the award of a degree at any university, or works where the applicant's role was that of editor.
14.3.7 A candidate must preface the thesis with a signed statement affirming that:
a. to the best of their knowledge, the thesis contains no material written
by another person except where due reference is made in the text of the
thesis;
b. that the material in the thesis has not been the basis of the award of
any other degree or diploma except where due reference is made in the text
of the thesis;
c. all substantive contributions by others to the work presented in the
thesis, including jointly-authored publications, must be clearly
acknowledged.
14.3.8 The submission of a non-standard thesis will require the approval of the Dean Research (or equivalent) before being presented for examination.
14.4.1 The thesis submitted to the Research Degrees Committee shall:
a. meet the University's requirements for academic integrity in research;
b. be an accurate account of the research program;
c. be assessable according to examination criteria;
d. conform with the appropriate guidelines for presentation (see Appendix
2).
14.4.2 The thesis may be presented for examination in either printed or electronic forms (Refer Appendix 2 for Guidelines on the preparation of theses). The thesis in electronic form can be submitted only where there is agreement of the examiner to review an electronic version.
14.4.3 When the candidate submits the thesis for examination, the Principal Supervisor shall provide a statement to the Research Degrees Committee, through the Dean Research (or equivalent), setting out:
a. that the integrating component was written by the candidate,
b. that the thesis is properly presented and is worthy of examination, and
c. that the research has been conducted in a responsible manner and in
agreement with approved research policies for human research ethics, animal
ethics, or other research policies appropriate to the nature of the research
- this last statement should also be countersigned by the Research Degrees
Coordinator.
14.4.4 The candidate shall state clearly and fully the extent of any collaboration and shall identify the parts of the thesis that are not the result of the candidate's own work.
14.4.5 If the Principal Supervisor is unable to advise that, in their opinion, the submission is prima facie worthy of examination, the Research Degrees Committee will offer the candidate the opportunity to withdraw the submission before examination, or to make a case to the Dean of Graduate Studies for the examination to proceed.
15.1.1 Subject to section 15.1.3, anonymity must be maintained during the examination process, but normally all examiners' reports will be made available to candidates, unless indicated otherwise by the examiner
15.1.2 A candidate has the right to be consulted about the choice of examiners, but does not have the right to nominate examiners.
15.1.3 Unless agreed by the Dean of Graduate Studies, during the examination process no dialogue about the examination is to be conducted by the supervisor and/or the candidate with the examiners involved.
15.2.1 Upon receiving a notice from a candidate of intention to submit a thesis and following consideration of recommendations from the Dean Research (or equivalent), the Research Degrees Committee shall appoint two examiners external to the University. A reserve examiner will also be appointed in the event that one of the appointed examiners fails to return the examination report within the required time.
15.2.2 Any Supervisor of the candidate may not be appointed as an examiner of that candidate's thesis.
15.2.3 Where artefacts are included with the thesis, the same two people shall examine both the written component and the artefact(s).
15.2.4 Examiners shall:
1. hold a research degree at the level they are examining, or have
equivalent professional experience;
2. be of high academic standing in the candidate's research field;
3. wherever possible, have recent research activity in that field;
4. have the capacity to arrive at an independent assessment of the thesis;
5. have knowledge about the standards expected for the thesis/research
work/artefact;
6. not have given any substantive advice on the research (except in the
case of a resubmitted thesis); and
7. not had or have a close personal relationship with the candidate or
supervisors.
15.2.5 Following divisional approval of examiners, the Graduate Studies Office will confirm the examiners' availability and despatch the thesis to them for assessment.
15.2.6 Where an examiner fails to return an assessment within the required time of receiving a thesis for examination, the Research Degrees Committee may appoint another examiner.
15.2.7 Arrangement for the examination of artefacts will be made by the School in conjunction with the Graduate Studies Office.
Examiners shall examine the thesis principally in terms of the following criteria:
a. The candidate's capacity to demonstrate independent critical analysis
and original thought
b. The candidate's ability to demonstrate a comprehensive and detailed
knowledge of the literature and theoretical understandings relevant to the
field of study
c. The candidate's capacity to design and apply appropriate research
methodologies
d. The extent to which the thesis makes a significant original contribution
to knowledge and/or the application of knowledge within the field of study
e. The candidate's ability to review critically their own work in relation
to the relevant existing knowledge and demonstrate (and supported in the
integrating component) a clear and sustained contribution to the discipline
area
f. The quality of artefacts, if any, including:
i the conceptual understanding of the relevant field,
ii the ideas and/or imagination demonstrated,
iii the technical competence,
iv the resolution of the artefacts,
v the complexity and difficulty demonstrated.
15.4.1 The examiners shall independently assess the thesis and recommend to the Research Degrees Committee one of the following assessments:
a. Pass forthwith
b. Pass following minor corrections, certified by the Dean Research (or
equivalent)
c. Fail
15.4.2 The nature of the submission does not permit major revision and re-examination.
15.4.3 On receipt of all examiners' reports, the Graduate Studies Office will despatch the reports to the Principal Supervisor and candidate, copied to the Research Degree Coordinator and Dean Research (or equivalent).
In the case of a thesis that has been assessed as pass forthwith, the thesis shall be submitted to the Research Degrees Committee within four weeks of the notification of the outcome of examination. The submission will be accompanied by a statement signed by the Principal Supervisor and the Dean Research (or equivalent), each confirming that the thesis is satisfactory for the award of the degree.
In the case of a thesis that has been assessed as passed following minor corrections, the revised thesis shall be submitted to the Research Degrees Committee within three months of the notification of the need for revision. The submission will be accompanied by a statement that is signed by the Principal Supervisor, one other person nominated by the Dean Research (or equivalent), and the Dean Research (or equivalent), each confirming that the revisions have been made and that the thesis is satisfactory for the award of the degree.
A thesis that has been failed may not be resubmitted for the award of a PhD degree and the candidacy will be terminated, except as provided below.
15.7.1 A candidate may submit an appeal to the Research Degrees Committee to have the thesis re-examined once only provided that evidence is submitted to the satisfaction of Research Degrees Committee that any of the examiners:
a. was unqualified to examine the work or
b. substantially misinterpreted the work or
c. was prejudiced or biased in the assessment of the thesis
15.7.2 Research Degrees Committee will determine whether the appeal should be upheld or rejected and, if upheld, shall appoint new examiners. If the appeal is not upheld, the candidate may appeal to the Student Appeals Committee (see section 11 of the Assessment Policies and Procedures Manual - PDF file, 312kb).
15.7.3 The decision of the Student Appeals Committee will be final.
16.1 Research Degrees Committee will establish an Examinations Panel. Membership will comprise the Dean of Graduate Studies, the Academic Board representative of Research Degrees Committee and the Deans Research (or equivalent) from each Division/Institute.
16.2 The purpose of the Examinations Panel is to reconcile conflicting examiners' reports involving assessment option (3), or any other matter referred by Research Degrees Committee.
16.3 Within six weeks of receipt of the examiners’ reports, the Principal Supervisor will provide to the Dean Research (or equivalent) documentation and a recommendation as to the proposed course of action. All examiners' reports are to be taken into account when preparing a recommendation.
16.4.1 The Examinations Panel may determine that:
a. dialogue be conducted with all or any one of the examiners, or between
the examiners;
b. another examiner be appointed;
c. the examiner's advice be overridden;
d. an independent adjudicator be appointed; or
e. any other action as deemed appropriate.
16.4.2 The Examinations Panel will send a written report to the Dean Research (or equivalent) and Principal Supervisor for action.
16.5.1 Where an independent adjudicator is required, the Research Degrees Committee will appoint the adjudicator, normally who will be external to the University.
16.5.2 The adjudicator is not an additional examiner, but a judge requested to pronounce on the relative soundness, correctness and appropriateness of the initial two examiners' recommendations.
16.5.3 The following material is sent to the adjudicator:
a. Original thesis;
b. Examiners’ reports (anonymised);
c. Rejoinder from the candidate and supervisor; and
d. Criteria for examination.
16.5.4 The adjudicator shall evaluate the above material and advise the Examinations Panel about whether the examiners have:
a. fully grasped the substance of the candidate's thesis;
b. erred in their judgement of the thesis; and/or
c. assessed the thesis at the appropriate level (see clause 15.4).
The following gradings and transcript notations will apply, depending on the circumstances of each individual non-enrolled candidate and as determined by the Dean, Research (or equivalent) and the Dean of Graduate Studies.
17.1 F- Failed. This notation is to be used where a candidate has submitted for examination and failed as indicated in the assessments given by the examiners.
An appeal may also have been heard. No reinstatement is permitted.
17.2 T - Terminated. This notation is to be used where a candidate's progress has been deemed to be unsatisfactory in accordance with the Academic Regulations, that is milestones have been established (including revisions to thesis after examination) and have not been met. No reinstatement is permitted.
17.3 SE - Suspended - examined, but examination process not completed. May apply for reinstatement. This notation may be used where a candidate’s thesis has been examined and revisions are required, but the candidate chooses not to complete. Within three years, the candidate may seek reinstatement and be re-admitted if appropriate support is available.
17.4 SNE - Suspended - not examined. May apply for reinstatement. The candidate has not completed the requirements for the award of the degree. This notation is to be used where the enrolment lapses prior to the examination process due to the candidate failing to withdraw, maintaining contact with the supervisors or does not make satisfactory progress. Within three years, the candidate may seek reinstatement and be re-admitted if appropriate support is available.
17.5 WD - Withdrawn. Candidate formally withdrew from the program. Within three years, the candidate may seek reinstatement and be re-admitted if appropriate support is available.
18.1 A candidate whose enrolment was suspended may apply to the Dean of Graduate Studies for reinstatement, provided they have had less than three years absence and will continue their previous research project.
18.2 An application is required to be supported by the Principal Supervisor; Research Degree Coordinator, Dean Research (or equivalent) and Head of School/Institute Director.
18.3 The Principal Supervisor of a reinstated candidate will be required to establish milestones with the candidate to ensure completion within the required timeframe and the Dean Research (or equivalent) will be required to agree to these milestones and to monitor progress against milestones.
18.4 Reinstatement will be allowed only once.
19.1 If the Research Degrees Committee is of the opinion that a candidate has satisfied the requirements for the award of the degree, it shall certify to Council that the candidate is eligible to be admitted to the degree.
19.2 For candidates commencing after 1 January 2004, in their final year, the candidate shall document evidence of achievement and experience in the seven areas of the Research Degree Graduate Qualities in their final review of progress.
The University provisions relating to intellectual property, contained in the University Activities Policy C20, shall apply unless an Intellectual Property Assignment Agreement (PDF file, staff access only) has been entered into. Copyright in all theses shall remain the property of the candidate.
20.2.1 Three copies of the final version of the thesis, amended if necessary must be sent to Dean of Graduate Studies for lodgement with the University Library (2 copies) and in the Division or such other place(s) as the Research Degrees Committee considers appropriate (1 copy).
20.2.2 The final version should include an appropriate record of artefacts, eg photographs, video recording.
20.2.3 Wherever possible, the final version should be in print format
20.2.4 The University is a member of the Australasian Digital Thesis Program (ADT) and Australian Research Repositories Online to the World (ARROW). HDR students are required to submit a digital copy of their thesis into ADT via arrow@UniSA
20.2.5 In order to protect intellectual property rights, a candidate may restrict access to the thesis (refer to clause 20.3).
20.3.1 The candidate, as author, will be asked to consent in writing to the thesis being made available for loan or copying. Such notice of consent will be inserted by the Dean of Graduate Studies into the copies deposited in the Library which will become available for loan or copying, except where a restriction is imposed by Research Degrees Committee as provided for in clause 20.3.2.
20.3.2 Where written consent to the thesis being made available for loan or copying is not given by the author, the Research Degrees Committee may restrict the circulation and copying of the thesis.
20.3.3 If the Research Degrees Committee approves a restriction on circulation or copying, the thesis will, in any case, become available for loan two years after the thesis has been deposited with the University, or such longer period as may be approved by the Research Degrees Committee.
From time to time the Research Degrees Committee will audit these Regulations and their implementation.
Candidates for admission to the Degree of Doctor of Philosophy (by Portfolio of Publications) shall develop, and subsequently maintain, a comprehensive Research Statement. A Research Statement is designed to provide a structure and time frame for a candidate's research program and can be used to assess the candidate's progress at times of review. It will also be used to assess the ethical acceptability of research conducted prior to candidature. Any additional research to be undertaken should be negotiated with the principal supervisor and clearly specified in the statement, and it should only be directed to the development of the integrated theme. The statement should contain the following sections, and should normally be between 10 to 20 pages in total length.
This section should typically include the following details:
a. A thematic overview that serves to make clear how the individual
publications can be converted into an integrated whole, namely the thesis.
b. Introduction in which the candidate states the nature of the topic, why
it is considered important and how the research contributes to its solution.
This section should also include a proposed thesis title.
c. Review of relevant research and theory, an integrated statement that
affords some explanation of why the literature cited is important to the
research the candidate proposes to present.
d. The Research Topic (or Hypothesis). (The research topic should be
clearly stated and provide clear indication of the focus of the research).
e. Subsidiary Issues, which like the research topic, may be stated in
hypothesis form (where relevant).
f. Any additional research required to complement the integrative theme of
the research.
If additional research is to be undertaken, this section should typically include the following:
a. A description of the theoretical or conceptual framework employed
b. Details of analytical techniques and research design used to undertake
the research project
c. Timetable or Project Plan for completing the thesis
d. A statement that ethical and other clearances will be obtained.
For detailed information on the content and form of the thesis and requirements for submission, refer to Section 14 of the Academic Regulations.
Before the research work is submitted for examination, the candidate, with the advice of their supervisor, should ensure that a very high standard of scholarly presentation has been achieved. This includes ensuring that:
Normally, a doctoral thesis is around 80,000 words. The exegesis accompanying an artefact thesis is normally a maximum of 20,000 for a doctoral thesis and 10,000 words for a Masters degree.
If length limits have been exceeded, notification of the length and number of volumes is to be advised, so that examiners can be informed of the length of the thesis before they accept nomination. (National College of Deans and Directors of Graduate Studies Guidelines April 2004).
Theses may be presented in either electronic or printed form, depending on the agreement of the examiner as to their preferred medium in which to assess the thesis. The electronic format normally should be in the software compatible for the examiner's computer.
Candidates presenting non-standard theses will need to obtain the prior approval of the Supervisor and the Division/Institute Research Management Committee (or equivalent) before being lodged for examination. Advice supporting the submission of non-standard theses is to be provided to the Graduate Studies Office at the time of lodgement.
Four copies of the thesis in either form or a mixture of forms must be presented for examination. One copy is to be retained in the school and the other three copies are to be forwarded to Dean of Graduate Studies for despatch to examiners.
1. Printed version
2. Electronic version
The thesis should incorporate in the following order:
1. a title page giving the:
2. a table of contents
3. a list of figures
4. a list of tables
5. a glossary and/or table of abbreviations
Glossary of uncommon terms and general abbreviations used throughout the
text.
List all abbreviations except those in widespread use;
6. a summary in not more than 500 words;
7. a signed declaration stating
I declare that:
8. an acknowledgment of any help given or work carried out by other
people or organisations, including the University of South Australia
9. the main text
10. bibliography/references should be cited following a protocol used by
a major international journal in the Candidate's area of study or as
determined by the Division Research Management Committee (or equivalent)
11. appendices if any.
Notes:
1. Numbering of pages - title page bears no number; sections (ii)-(viii) are numbered with small Roman numerals (bottom centre); main text onwards is numbered with Arabic numbers (bottom centre).
2. Units used in the thesis must accord with the system of international units (SI, Le Systeme International D'Unites).
Figures of high quality should be drawn, photographed or securely mounted on A4 size paper and inserted in the appropriate place in the text.
Diagrams and figures are to be labelled using a computer based graphics drawing program in a font that matches the main text. The legend should be placed beneath the figure.
Tables should be inserted in the appropriate place in the text, except that lengthy or bulky tables should appear as an appendix. The legend should be placed above the table.
Where the figure or table fills the whole A4 page, the legend should be placed on the left-hand (verso) page. Verso pages are to be prepared with a right-hand side margin not less than 3.5cm to allow for binding and 1.5cm on the other three sides.
Diagrams, maps, tables, etc exceeding A4 size, should be folded so as to read as a right-hand page when open.
The final three copies of the thesis must be sewn and bound with dark cloth on stiff covers. The examination copy may be presented in soft cover and heat bound, but must be secure, ie sheets cannot be removed or added without evidence of tampering.
On the spine of the final copies of the thesis should be given, in gold lettering of suitable size, normally reading from top to the bottom, the candidate's family name and title of the thesis, abbreviated if necessary. Where the width of the spine allows, the lettering may be placed horizontally, with the title of the thesis near the top of the spine and the candidate's family name near the middle.
When published papers are submitted as evidence, they should normally be bound near the back of the thesis as an appendix. In the case of published papers of unusual size, it may be desirable to bind them in a separate volume. If they have been bound by the publisher it is desirable to keep them in a special case made and lettered to simulate a bound volume of the thesis.
Supplementary material such as computer disks, folded maps and other large folded sheets may be placed in a pocket inside the back cover of the bound thesis. Any material which cannot readily be kept in a pocket should be placed in a special case made and lettered to simulate a bound volume of the thesis.
A supplementary case or additional volume of a thesis should be distinguished by a volume number but should otherwise be uniform with the first part of the thesis in respect to colour, lettering and, as far as possible, size.
Three copies of the final version of the thesis, amended if necessary must be sent to Dean of Graduate Studies for lodgement with the University Library (2 copies) and in the Division (1 copy) or such other place(s) as the Research Degrees Committee considers appropriate. The copies should include an appropriate record of artefacts, eg photographs, video recording.
Wherever possible, the final version should be in print format.
The University is a member of the Australian Digital Thesis Project (ADT). Candidates are to submit a digital copy of their thesis into the ADT database. The deposit form is on the Library's webpage.
In order to protect intellectual property rights, a candidate may restrict access to the thesis.
