higher degrees research

7/24/2019 Higher Degrees Research

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Please Note: Printing this document may make it obsolete.For the latest version of this policy always check the Policy and Procedures Directory Page 1 of 43

Name: Higher Degrees by Research

Approved by: Academic Senate

Last reviewed: 20 March 2013

SECTION 1 - INTRODUCTION_________________________________________________________ 5

PURPOSE ____________________________________________________________________ 5

SCOPE ______________________________________________________________________ 5

DEFINITIONS__________________________________________________________________ 5

LEGISLATIVE CONTEXT__________________________________________________________ 7

SECTION 2 - POLICY_______________________________________________________________ 8

PRINCIPLES__________________________________________________________________ 8

POLICY _____________________________________________________________________ 8

1. RESEARCH DEGREES ________________________________________________________ 8

1.1 Doctor of Philosophy (PhD) __________________________________________________ 8

1.2 Professional Doctorate ______________________________________________________ 8

1.3 Masters by Research _______________________________________________________ 8

2. ENTRY REQUIREMENTS ______________________________________________________ 8

2.1 Equivalence of International Qualifications ______________________________________ 9

2.2 PhD Minimum Entry Requirements ____________________________________________ 9

2.3 Professional Doctorates Minimum Entry Requirements ____________________________ 9

2.4 Masters by Research Minimum Entry Requirements ______________________________ 10

2.5 English Language Requirements ______________________________________________ 10

2.6 Exceptions to Entry Requirements _____________________________________________ 10

2.7 Police Check for Placements _________________________________________________ 11

3. APPLICATION FOR ENROLMENT _______________________________________________ 11

3.1 Contact with Potential Supervisors ____________________________________________ 11

3.2 Application for Candidature __________________________________________________ 11

3.3 Offers ___________________________________________________________________ 113.4 Conditional Offers _________________________________________________________ 11

4. ENROLMENT ________________________________________________________________ 11

4.1 Faculty of Enrolment _______________________________________________________ 11

4.2 Enrolment Status __________________________________________________________ 12

4.3 Multiple Enrolments ________________________________________________________ 12

5. FEES _______________________________________________________________________ 12

5.1 International Candidates ____________________________________________________ 12

5.2 Australian and New Zealand Citizens and Australian Permanent Residents ____________ 12

6. CREDIT TRANSFER __________________________________________________________ 12

Policy and Procedure


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7. DURATION OF CANDIDATURE _________________________________________________ 13

7.1 Candidature Commencement Date ____________________________________________ 13

7.2 Candidature End Date ______________________________________________________ 13

7.3 Candidate Status __________________________________________________________ 13

7.4 Duration _________________________________________________________________ 13

7.5 Exceeding Period of Funded Candidature _______________________________________ 14

7.6 Exceeding Normal Duration of Candidature _____________________________________ 14

7.7 Extension of Candidature ____________________________________________________ 15

7.8 Time Commitments ________________________________________________________ 15

7.9 Employment Commitments __________________________________________________ 15

8. VARIATION TO CANDIDATURE - Change from Full-time to Part-time Study or Part-time

to Full-time Study ______________________________________________________________ 15

9. LEAVE PROVISIONS __________________________________________________________ 16

9.1 Leave of Absence _________________________________________________________ 16

9.2 Annual Leave _____________________________________________________________ 16

10. CHANGE OF TITLE __________________________________________________________ 17

11. INDUCTION ________________________________________________________________ 17

12. PROFESSIONAL SKILLS DEVELOPMENT _______________________________________ 17

13. TRANSFER FROM OR TO ANOTHER AUSTRALIAN UNIVERSITY ___________________ 17

14. REINSTATEMENT OF CANDIDATURE __________________________________________ 17

15. WITHDRAWAL ______________________________________________________________ 17

16. LOCATION OF STUDY _______________________________________________________ 18

17. STUDY AWAY ______________________________________________________________ 18

18. PROGRESS ________________________________________________________________ 18

18.1 Monitoring of Progress _____________________________________________________ 18

18.2 Major Reviews Of Progress _________________________________________________ 18

18.3 Outcomes of Progress Assessments __________________________________________ 21

18.4 Progress Reports _________________________________________________________ 21

18.5 Other Progress Matters ____________________________________________________ 21

19. RESPONSIBILITIES OF THE CANDIDATE _______________________________________ 22

20. RESEARCH SUPERVISION ___________________________________________________ 23

20.1 Responsibilities of Supervisors ______________________________________________ 23

20.2 Responsibilities of the Faculty _______________________________________________ 24

20.3 Criteria for Registration as a Research Supervisor _______________________________ 25

20.4 Maximum Supervisory Load ________________________________________________ 25

20.5 Supervisor Training _______________________________________________________ 26

20.6 Change of Supervisor _____________________________________________________ 26

21. CONVERSION FROM ONE HDR TO ANOTHER ___________________________________ 26


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22. PUBLICATION PRIOR TO SUBMISSION _________________________________________ 27

23. EXAMINATION ______________________________________________________________ 27

23.1 Conduct of Examination ____________________________________________________ 27

23.2 Selection of Examiners ____________________________________________________ 27

23.3 Communication with Examiners ______________________________________________ 2823.4 Panels of Examiners ______________________________________________________ 28

23.5 Submission of Examinable Outcome __________________________________________ 29

23.6 Format _________________________________________________________________ 29

23.7 Editing _________________________________________________________________ 30

23.8 Submission for Examination ________________________________________________ 30

23.9 Cost of Production of Examinable/Examined Outcome ____________________________ 30

23.10 Cost of Examination ______________________________________________________ 30

23.11 Guidelines for Examiners __________________________________________________ 30

23.12 Duration of Examination ___________________________________________________ 30

23.13 Examination Outcomes ___________________________________________________ 31

23.14 Conflicting Outcomes _____________________________________________________ 31

23.15 Notification of Outcome ___________________________________________________ 31

23.16 Grading _______________________________________________________________ 32

23.17 Time Frame for Amendments Required by the Examination Process________________ 32

23.18 Examinations in a Language Other than English ________________________________ 32

23.19 Confidentiality and Embargos on the Examinable Outcome _______________________ 32

23.20 Final Submission ________________________________________________________ 33

23.21 Award of Degree ________________________________________________________ 33

23.22 Use of Doctoral Title _____________________________________________________ 33

24. CONDUCT OF RESEARCH ____________________________________________________ 33

24.1 Code of Conduct _________________________________________________________ 33

24.2 Plagiarism ______________________________________________________________ 33

24.3 Ethics and Safety Clearance ________________________________________________ 34

24.4 Intellectual Property _______________________________________________________ 34

25. DOUBLE-BADGED, DUAL AWARD AND COTUTELLE DEGREES ____________________ 34

26. COMPLAINTS AND DISPUTE RESOLUTION _____________________________________ 34

27. TERMINATION ______________________________________________________________ 35

28. REVIEW AND APPEALS ______________________________________________________ 36

29. QUALITY MANAGEMENT OF HDRS ____________________________________________ 36

30. CHANGE IN POLICY _________________________________________________________ 36

SECTION 3 - PROCEDURES__________________________________________________________ 37

PROCEDURES ________________________________________________________________ 37

1. AT RISK PROCEDURE_______________________________________________________ 37

1.1 At Risk __________________________________________________________________ 37

1.2 Reasons for At Risk Status _________________________________________________ 37

1.3 Support for Candidate ______________________________________________________ 37


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1.4 Communication and Documentation ___________________________________________ 38

1.5 At Risk Process __________________________________________________________ 38

2. TERMINATION OF CANDIDATURE FOR UNSATISFACTORY PROGRESS ______________ 39

2.1 Termination Process _______________________________________________________ 39

2.2 Outcome of Meeting to Consider Termination of Candidature _______________________ 402.3 International Students ______________________________________________________ 41

3. HDR DISPUTE RESOLUTION ___________________________________________________ 41

3.1 Initial Steps in Dispute Resolution _____________________________________________ 41

3.2 Complaint handling ________________________________________________________ 41

3.3 Review and Appeals _______________________________________________________ 41

SUPPORTING DOCUMENTATION _________________________________________________ 41

Forms and Records Management ________________________________________________ 41

Related Documents, Policies, Material ____________________________________________ 42

SECTION 4 - GOVERNANCE __________________________________________________________ 43

RESPONSIBILITY _______________________________________________________________ 43

VERSION CONTROL AND CHANGE HISTORY ___________________________________________ 43


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SECTION 1 - INTRODUCTION

PURPOSE

The objective of this policy and procedures is to define the requirements and processes applicable to

Higher Degrees by Research (HDR).

SCOPE

This policy and procedures applies to all research Doctorates and research Masters and to all faculties

and campuses of the University including Sarawak.

HDR candidates who enrolled prior to 1 November 2007 are governed by slightly different conditions

for some issues.

DEFINITIONS

Word/Term Definition

Academic Unit A teaching Faculty, school, institute or centre of Swinburne University ofTechnology from the Higher Education section.

ADR Associate Dean of Faculty (Research)

APS Australian Psychological Society

Artefact created object taken as a whole

Associate

Supervisor

A member of the supervisory team who is registered at an associate level or who

is taking a subordinate role

ASEP Australian Standards for Editing Practice http://www.iped-

editors.org/Resources_for_editors/Editing_standards

At Risk refers to a classification that can be placed upon the candidature of HDR

candidates when it appears that there is a risk that they will not achieve their

agreed program milestones and/or complete their program successfully and withinthe prescribed timeframe.

Candidate a student currently enrolled in an HDR program, inclusive of provisional

candidates

Candidate

Status

a period of time from the date of enrolment to graduation (or the award of the

degree, or in rare instances the date of termination or withdrawal), during which

the university has a relationship with the candidate.

Candidature refers to the period of enrolment in an HDR that ceases upon submission of the

examinable outcome

CBT computer-based test (TOEFL)

CEP Online Australian Government AEI Country Education Profiles

Commencement

Date

thedate of enrolment in the program of study

Coordinating

Supervisor

A senior supervisor working with a Principal Coordinating Supervisor in a co-

supervisory capacity

Cotutelle

Degree

A joint PhD degree where the partner institution is a French university. The

testamur must have inscribed that the degree is a Cotutelle PhD and the name of

the French partner institution

Credit Transfer recognition of prior formal study

DBA Doctor of Business Administration

DDes Doctor of Design

DIAC Department of Immigration and Citizenship

Doctorate A doctorate is a work of sustained scholarship that makes a significant and

original contribution to a discipline or profession. Significance is judged in terms

of the potential of the results of the work to be published in peer-reviewed form (or


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in some cases of its capacity to advance professional practice).

Double-Badged

Degrees

A double-badged degree refers to a PhD program offered jointly by Swinburne

University of Technology and a partner institution. Candidates in double-badged

degrees are enrolled at both institutions, are jointly supervised and receive one

award, made jointly by Swinburne University of Technology and the partner

institution.DPsych Clinical Doctor of Psychology (Clinical Psychology)

DPsych

Counselling

Doctor of Psychology (Counselling Psychology)

Dual Award

Degrees

A Dual Award degree means an arrangement whereby a PhD candidate is

involved in two PhD programs across two institutions. The successful candidate

receives two PhD awards, one from each institution. This arrangement is not

available at Swinburne University of Technology

Embargo a restriction on public access to the examinable outcome (or part thereof)

EFTSL Equivalent Full-time Study Load

ESOS Education Services for Overseas Students (legislative framework)

Examinable

Outcome

the scholarly work of a research degree submitted for examination. The

examinable outcome is documented in

(a) a thesis; or,

(b) an artefact or product and accompanying project document or exegesis.

Examination

Mode

the way in which the examination takes place, eg the written presentation of the

examinable outcome or a viva

Exegesis an account and/or defence of what was done which must include reference to the

processes involved and the significance for practice of what was learned, and

what was produced.

Faculty the Faculty of the University responsible for studies in particular discipline(s)

including Research Centres, Research Institutes, and Sarawak.

FTE full-time equivalent

FRC Faculty Research Committee

HDR Higher Degree by Research

HDRC Higher Degree Research Committee

Higher

Education

Sector

A sector comprising the Higher Education faculties across all campuses of the

University, including Sarawak.

Home Faculty the Faculty in which the candidate is enrolled or in which the Principal

Coordinating Supervisor is employed. In the case of staff with fractional

appointments in more than one Faculty, the home Faculty is that in which the

major proportion of time is spent.

iBT internet-Based Test (TOEFL)

IELTS International English Language Testing SystemIP Intellectual Property

Joint Degree (or

Partnered PhD)

A generic term that covers PhD programs where there is a joint collaboration,

effort and/or contribution between two (or more) Higher Education Providers. The

collaboration leads to the successful completion of one PhD degree.

LOA Leave of Absence

Overseas

University

is international with respect to the geographical location of the University campus

at which the candidate is enrolled excluding overseas campuses of Swinburne

PhD Doctor of Philosophy

PhD by

Publication

A PhD by Publication is based on research that has been carried out prior to

admission to candidature, and which has been published, normally in academic

texts and/or refereed journals. Only those publications not previously submitted bythe applicant for a degree in any tertiary institution may be included in support of


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the application for candidature and as part of the examinable outcome.

Plagiarism the presentation of the work, idea or creation of another person without

appropriate referencing, as though it is ones own.

PREQ Postgraduate Research Experience Questionnaire

Principal

CoordinatingSupervisor

a senior supervisor; responsible also for the administrative aspects of the

supervision of the candidate

Prof Doc Professional Doctorate

Provisional

Candidates

First year students (full time equivalent) enrolled under this policy whose

candidature has not yet been confirmed

RTS Research Training Scheme

SSAA Swinburne Student Amenities Association

SR Swinburne Research

Supervisory

Team

The team of at least two academics appointed to supervise the candidate in the

pursuit of the research degree (and any Consultant appointed to provide advice).

Thesis (or

dissertation)

with respect to a research degree, a thesis is normally defined as a proposition

that is maintained by argument. The argument should be orderly, logical and

systematic; and linear and proceed through inference where one part of the

argument leads to the next and so on.

TOEFL Test of English as a Foreign Language

UK NARIC The National Recognition Information Centre for the United Kingdom

Unit of Study a term covering subjects, courses and other terms used for components of course

work

University Swinburne University of Technology

Viva an oral examination or doctoral thesis defence

LEGISLATIVE CONTEXT

Name LocationESOSEducation Services for Overseas

Students

http://aei.gov.au/AEI/ESOS/default.htm


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SECTION 2 - POLICY

PRINCIPLES

The University offers Higher Degrees by Research (HDR) as part of its scholarly contribution to

society and as a vehicle for research training and/or professional practice development.

HDR policy and procedures govern the processes and standards of candidature and the judgement of

the quality of its outcomes.

HDR candidates who enrolled prior to 1 November 2007 are governed by slightly different conditions

for some issues.

POLICY

1. RESEARCH DEGREES

Higher Degrees by Research (HDR) include PhDs, Professional Doctorates and Masters byResearch.

The University offers a range of such programs to meet the needs of candidates, industry and

the professions. PhD programs include PhD by Thesis, PhD by Papers and PhD by Artefact

and Exegesis. Currently, there are professional doctorate programs in Design, Business and

Psychology (including DDES, DBA, DPsych Clinical, and DPsych Counselling).

The scholarly output of a research degree will be termed the examinable outcome

throughout this document.

1.1 Doctor of Philosophy (PhD)

PhD candidates are required to submit a written research thesis, a written research thesis

including associated papers, or an artefact with an accompanying exegesis. The examinable

outcome must make a significant and original contribution to a discipline or profession. The

examinable outcome will normally be equivalent to 70 000 to 100 000 words. Where the

examinable outcome takes the form of a thesis, it is acknowledged that thesis length can vary

according to the nature of the work and the discipline.

1.2 Professional Doctorate

A professional doctorate makes a significant and original contribution to professional practice

and comprises up to one third of advanced coursework. In the case of professional

doctorates, the examinable outcome includes a thesis and, where relevant, a coursework

component. The overall works are equivalent to 70 000 to 100 000 words.

1.3 Masters by Research

A Masters degree by Research is a work of scholarship that demonstrates mastery of inquiry

in a field of a discipline or profession. The examinable outcome will take the form of a thesis

that will normally be between 50 000 to 60 000 words. It is acknowledged that thesis length

can vary according to the nature of the work and the discipline.

2. ENTRY REQUIREMENTS

Normally entry qualifications and experience should be related to the field(s) within theresearch program for which the candidature application is made.


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Minimum entry requirements are set in order to ensure that the candidate has the necessary

knowledge and skills to meet the challenges of a research degree. Where they are not met,

the University may prescribe other tests or requirements, eg. enrolment in a research

Masters prior to a conversion application; completion of a coursework unit; submission of

existing publications or a durable record of scholarly work.

All applications for candidature are considered firstly at the Faculty level through the relevant

Faculty Research Committee (FRC) and then, if approved, by the HDRC. If the application is

approved, an offer letter is sent by Swinburne Research.

2.1 Equivalence of International Qualifications

Decisions on equivalence to Australian qualifications of qualifications gained outside Australia

will be informed by the Australian Government AEI Country Education Profiles (CEP Online),

and the National Recognition Information Centre for the United Kingdom (UK NARIC)

2.2 PhD Minimum Entry Requirements

Applicants must have completed at least four years (or equivalent) of tertiary education

studies at a high level of achievement. For example, either:

a) a four year degree; or

b) a three year degree and a Masters by Research; or

c) a three year degree and an Honours year; or

d) a three year degree and a Masters by Coursework that includes a research

component with a duration of at least one semester full time (or part time equivalent);

or

e) a three year degree and a postgraduate diploma in Psychology.

A high level of achievement is defined as the equivalent of a four year Swinburne Honoursdegree that includes a significant research component in the fourth year, leading to anHonours degree class 1 (average grade between 80-100) or class 2A (average gradebetween 70-79) level.

2.3 Professional Doctorates Minimum Entry Requirements

Minimum entry requirements differ in relation to the Professional Doctorates offered by the

University as detailed below. (Note: the DBA has no new intake).

2.3.1 Doctorate of Psychology (DPsych Clinical and DPsych Counselling)

Applicants must have completed at least four years of studies in psychology at a high level of

achievement. For example, either:

a four-year (or equivalent) sequence of studies in psychology at first or upper second

class level in a course or courses accredited by the APS; or

have equivalent overseas qualifications recognised by the APS; or

have completed a Masters degree in psychology;

and experience in:

face to face counselling;

have completed significant training in counselling skills eg. Lifeline, Care Ring;

counselling skills in tertiary programs; or


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other appropriate work experience; and have

a selection interview.

2.3.2 Doctorate in Design (DDes)

Applicants must have completed suitable studies in design at a high level of achievement.For example, either:

a masters from a recognized tertiary institution; or

other relevant qualifications deemed equivalent;

and experience of either:

a minimum of five years of professional experience; or

other relevant experience deemed equivalent.

2.4 Masters by Research Minimum Entry Requirements

A three year degree with a minimum average of Credit in the final year units of study.

2.5 English Language Requirements

International candidates must obtain a minimum IELTS overall band of 6.5 (Academic

Module) with no individual band below 6.0; OR, a TOEFL equivalent (for equivalence refer to

theSwinburne International website); OR satisfactory completion of the Swinburne College

English for Academic Purposes (EAP) Advanced level certificate at the postgraduate level

(EAP 5: PG-70%); OR have successfully completed a total of 24 months (full time equivalent)

of formal study where the language of instruction and assessment was English at AQF level 7

or above (or equivalent) at an approved university.

All international applicants who present with an IELTS or TOEFL qualification as outlined

above must have completed the qualifying test no greater than 24 months prior to submitting

their application for candidature.

All international applicants who present with previous studies in English as outlined above

must have completed the studies no greater than 60 months prior to submitting their

application for candidature.

In exceptional circumstances a case with respect to language proficiency entry requirements

may be made to the relevant FRC and if recommended, to the HDRC.

2.6 Exceptions to Entry Requirements

2.6.1 In exceptional cases, FRCs may consider applications from prospective candidates

who do not meet all of these criteria. Under Faculty guidance the candidate must

submit evidence of prior research and publications or of practice development that

meet the Boyer (1990) criteria for scholarly work.

2.6.2 Faculties may have specific admission requirements beyond the above such as a

minimum period of advanced practice experience. These are approved by the HDRC

and Academic Senate. In the case of international qualifications, judgments of

equivalence will be informed by assessments provided by CEP Online and/or the UK

NARIC; and in the case of Professional Doctorates in Psychology, judgements of

equivalence will be informed by assessments provided by the APS.
http://www.international.swinburne.edu.au/courses/english-requirements/ielts-and-toefl/http://www.international.swinburne.edu.au/courses/english-requirements/ielts-and-toefl/http://www.international.swinburne.edu.au/courses/english-requirements/ielts-and-toefl/http://www.international.swinburne.edu.au/courses/english-requirements/ielts-and-toefl/


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2.7 Police Check for Placements

Organisations that host placements or field experience will require candidates to have

obtained a police check regarding their suitability to undertake such placements. Enrolled and

prospective candidates are advised that they may be required to obtain and pay for a police

check prior to undertaking the placements for field experience in their program.

3. APPLICATION FOR ENROLMENT

Prior to enrolment in an HDR, the following steps must occur:

a) The potential candidate must make contact with potential supervisor/s;

b) The potential candidate must complete an application for candidature for

consideration by relevant committees at Faculty and University level;

c) A written offer of enrolment, if the candidature application is approved by the HDRC,

will be sent by Swinburne Research to the applicant.

3.1 Contact with Potential Supervisors

Prospective candidates may identify potential supervisors via the website or through contact

with the appropriate Faculty Research Office.

3.2 Application for Candidature

Potential candidates should apply for admission to candidature by following the process as

described on theSwinburne Researchwebsite. All applications for HDR candidature are

considered by the respective FRC. If recommended, an application is then considered by the

HDRC. The HDRC must be satisfied that the applicant is sufficiently competent to complete

the requirements of the designated HDR program and that the Faculty and University havethe resources to support the study for the duration of the candidature.

3.3 Offers

Once an application is approved by the HDRC, an offer is sent to the applicant from

Swinburne Research. Offers must be taken up within 6 months of the date of offer unless

specified otherwise. Note that alternative timeframes may apply to scholarship recipients.

Decisions of the HDRC on offers of candidature are final and are not subject to appeal.

3.4 Conditional Offers

In cases where an application does not fulfil all of the entry requirements, a conditional offermay be made. In most cases, enrolment cannot be completed until the conditions are fulfilled.

This must occur within 6 months of the date of the conditional offer, unless otherwise stated,

or the offer will lapse. In some cases, enrolment may proceed but the conditions must be

satisfactorily fulfilled by the time of the confirmation of candidature or the candidature may be

terminated. If an offer is conditional on completion of a coursework unit of study, continuing

candidature is dependent on successful completion of the unit.

4. ENROLMENT

4.1 Faculty of Enrolment

Candidates are normally enrolled in the Faculty of the Principal Coordinating Supervisor. If

there is a change of Principal Coordinating Supervisor and the new supervisor is in a different
http://www.swinburne.edu.au/research/postgrad.htmhttp://www.swinburne.edu.au/research/postgrad.htmhttp://www.swinburne.edu.au/research/postgrad.htmhttp://www.swinburne.edu.au/research/postgrad.htm


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Faculty, the candidature will normally be transferred to an equivalent program in the new

Faculty.

4.2 Enrolment Status

4.2.1 Candidates must remain enrolled at all times until the examination process is

complete or the maximum period of candidature is reached, except during

periods of approved leave.

4.2.2 Candidates must be enrolled at the time of submission of the examinable

outcome.

4.2.3 Failure to maintain current enrolment will result in termination of candidature.

This includes non-enrolment due to debt to the University.

4.3 Multiple Enrolments

HDR candidates cannot be enrolled in more than one program at a time, except where

academic staff members are pursuing a Graduate Certificate in Teaching and Learning. Onoccasion HDR candidates may be enrolled in individual units of study (full fees apply) if the

HDRC deems the units of study a necessary part of the overall research program. In such

instances, the enrolment status should be considered by the candidate and supervisors, and

may be varied to accommodate the additional load [Leave of Absence (LOA) or a shift from

full-time to part-time status]. No extensions to candidature will be granted on the grounds of

enrolment in additional units of study.

Due to government regulation, restrictions apply to concurrent enrolments for international

candidates on student visas. Concurrent enrolments will only be permitted in accordance with

legislative requirements.

5. FEES

Candidates in HDR programs may be required to pay tuition fees.

5.1 International Candidates

International candidates are required to pay tuition fees but may be offered a range of

scholarships, including Tuition Fee Scholarships (TFS) for remission of fees.

5.2 Australian and New Zealand Citizens and Australian Permanent Residents

5.2.1 Most HDR candidates are enrolled in a Research Training Scheme (RTS) place for

which tuition fees are not charged. The RTS provides Commonwealth-funded HDR

candidates with an 'entitlement' to a fee exemption for the duration of an accredited

HDR course.

5.2.2 Funding is provided for a maximum of 4 years full-time (8 years part-time) for a PhD

or Professional Doctorate and 2 years full-time (4 years part-time) for a Masters by

Research.

5.2.3 The University may elect to impose fees on candidates who wish to remain enrolled

after exhausting their RTS entitlement.

6. CREDIT TRANSFER

6.1 Credit transfer (or exemption) for studies completed at other institutions or as part of another

degree is not possible for PhD or Masters by Research programs.

6.2 Candidates in Professional Doctorate of Psychology (DPsych) programs may apply for


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exemptions for some units of study. Further detail is provided by the Faculty as part of the

process for admission to candidature.

6.3 No credit transfer is available to Doctor of Design (DDes) candidates.

7. DURATION OF CANDIDATURE

The purpose of this section is to communicate clear expectations about the time available for

the completion of the degree and the rules that guide enrolment.

7.1 Candidature Commencement Date

Candidature commences on the date of first enrolment in the program.

7.2 Candidature End Date

7.2.1 Candidature ends on the date:

a) that the examinable outcome is submitted for examination; or

b) that the maximum period of candidature is reached; or

c) of withdrawal; or

d) of termination.

7.3 Candidate Status

7.3.1 Candidate status commences on the date of enrolment and ceases:

a) if the candidate has not re-enrolled by the census date; or

b) once the examinable outcome is submitted for examination; or

c) during periods of approved leave of absence; or

d) when the maximum period of candidature is reached; or

e) upon withdrawal; or

f) upon termination.

7.3.2 In most cases, candidates whose status is not current are not eligible to receive

payments and services including:

a) scholarship payments;

b) supervision;

c) access to facilities including email, library and internet access.

7.3.3 A candidates HDR candidature may remain current while their enrolment status is

not current.

7.4 Duration

7.4.1 The period of candidature for PhD programs is 4 years FTE. Local and international

offshore candidates may apply for a maximum period of extension of 12 months.

7.4.2 International onshore candidates on student visas are expected to complete within

the duration of their initial candidature.

7.4.3 The period of candidature for Masters by Research is 2 years FTE. Local and

international offshore candidates may apply for a maximum period of extension of 12


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months.

7.4.4 The part-time duration of candidature is double that of full-time (International on-

shore candidates cannot be enrolled on a part-time basis.)

7.4.5 The following tables indicate the duration of all programs including professional

doctorates.Loc al and Internation al Offsh ore Candid ates

Degree

Min (months) Normal (months) Max (months)

PhD 24 48 60

DBA 24 30 60

DDes 24 36 60

DPsych 36 48 60

Masters Res 12 24 36

In ternat ional Onshore Candidates (assum ing no extension al lowed)

Degree

Min (months) Normal (months) Max (months)

PhD 24 48 48

DBA 24 30 48

DDes 24 36 48

DPsych 36 48 48

Masters Res 12 24 24

7.5 Exceeding Period of Funded Candidature

Candidates who exceed the period of funded candidature are required to pay tuition fees up

to maximum candidature or submission of the examinable outcome.

7.6 Exceeding Normal Duration of Candidature

7.6.1 Candidature will be terminated by the HDRC on expiry of normal duration of

candidature if there is no submission for examination to Swinburne Research by that

date, or where no approval for an extension beyond the normal period has beenobtained from the HDRC. The At Risk procedure does not have to be followed in

this case.

7.6.2 Swinburne Research will notify the candidate, the Principal Coordinating Supervisor

and the ADR or appropriate academic authority, six (6) months before expiry of

candidature of the normal date for submission of the examinable outcome that

candidature will be terminated in the event that the examinable outcome is not

submitted to Swinburne Research on or before that date.

7.6.3 Applications for an extension beyond the normal duration of candidature may be

submitted. Due to government regulation, restrictions apply to program extensions for

onshore international candidates on student visas. Program extensions will only be

permitted in accordance with ESOS legislative requirements.


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7.7 Extension of Candidature

7.7.1 Applications for extension of candidature must be endorsed by the Principal

Coordinating Supervisor and the ADR. Applications will only be approved where

there is a reasonable prospect of submission within the extension period.

7.7.2 The total period of extension which may be applied for at any one time is 6 months,

up to a maximum period of extension of 12 months FTE.

7.7.3 International candidates on student visas are expected to complete within the

duration of their initial candidature. Extensions will be permitted only in limited

circumstances in accordance with Commonwealth legislative requirements.

7.7.4 In order to apply for an extension of candidature, the process described on the

Swinburne Research website should be followed.

7.7.5 Extensions to candidature are separate from extensions to scholarship. Scholarships

have various terms and conditions and some are awarded for shorter periods than

the normal duration of candidature. Candidates should refer to the guidelines for their

particular scholarship for details on extensions.

7.8 Time Commitments

Full-time candidates are expected to commit a minimum of 40 hours per week on average to

their research and part-time candidates are expected to commit a minimum of 20 hours.

7.9 Employment Commitments

An HDR program is a demanding undertaking that requires full commitment to ensure

successful and timely completion. The employment commitments of full time candidates must

not exceed a total of 8 hours per week on average and must not affect the overall progress of

the research program. International onshore candidates on student visas are governed by the

conditions of their visa, but any permitted paid employment must not exceed a total of 8

hours per week on average.

8. VARIATION TO CANDIDATURE - Change from Full-time to Part-time Study or Part-time to

Full-time Study

8.1 A candidate may choose to study on a full-time or part-time basis except in the following

cases:

a) the program is offered on a full time or part time basis only;

b) the candidate is an international onshore student;

c) the scholarship or other agreement requires full-time or part-time enrolment.

8.2 Candidates seeking to transfer from full-time to part-time study or from part-time to full-time

study must lodge the appropriateform with their Principal Coordinating Supervisor for

endorsement and consideration by their respective FRC. If recommended, the application is

then considered by the HDRC.

8.3 Candidates should be aware that changes to study mode may have implications for

scholarship eligibility or program requirements and these should be considered.

8.4 International onshore candidates may change to part-time candidature only in accordance

with Commonwealth legislative requirements. Candidates should contact Swinburne

International for advice on such matters.


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9. LEAVE PROVISIONS

9.1 Leave of Absence

Local and offshore international candidates may apply for periods of leave of absence of up

to 6 months (to a maximum of 12 months FTE for the total candidature) for any of the

following reasons:

a) illness;

b) carer responsibilities;

c) parental responsibilities including pregnancy, child care and adoption;

d) relocation of place of work or residence;

e) other reasons at the discretion of the HDRC.

9.1.1 Leave of absence will not normally be granted in the first 12 months of candidature

(both full- and part-time) except in the case of parental leave or illness.

9.1.2 International onshore candidates on a student visa may apply for periods of leave of

absence of up to 6 months (to a maximum of 12 months FTE for the total

candidature) and are only permitted to take leave of absence in compassionate or

compelling circumstances in accordance with Commonwealth legislative

requirements.

9.1.3 Periods of approved leave of absence are not included for the purpose of calculating

candidature end dates.

9.1.4 Facilities and support, such as computer access, email accounts and access to

networks, databases and libraries, are not provided during periods of leave of

absence. Access to supervision may also be limited during these periods.

9.1.5 In the case of candidates in receipt of a scholarship, compliance with the rules

governing leave of absence from the scholarship must occur.

9.1.6 Candidates must not collect data during periods of leave of absence. Data collection

whilst on leave of absence is considered a breach of ethics and of the Code of

Conduct of Research.

9.2 Annual Leave

9.2.1 Candidates may apply for periods of annual leave of up to 4 weeks for each year of

their candidature.

9.2.2 Periods of annual leave will not result in a suspension of enrolment and therefore will

be included for the purpose of calculating candidature end dates.

9.2.3 Candidates will retain access to facilities and support (including supervision) during

approved annual leave.

9.2.4 International onshore candidates on student visas are permitted to leave the country

while on approved annual leave only in accordance with Commonwealth legislative

requirements.

9.2.5 Candidates will not be permitted to take annual leave if such leave coincides with

scheduled confirmation of candidature or progress review meetings.


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10. CHANGE OF TITLE

If the title of the research that was approved at the beginning of the candidature changes, the

candidate must submit a change of title form to their relevant FRC. If approved, the

application is then forwarded to the HDRC for noting.

11. INDUCTION

Regular induction programs are arranged for all newly enrolled candidates. All candidates

are expected to attend. Appropriate provision will be made by the home Faculty for offshore

candidates and those who cannot attend on-campus events.

12. PROFESSIONAL SKILLS DEVELOPMENT

Swinburne Research offers a range of activities which aim to give candidates the opportunity

to develop their skills and capabilities and to interact with the wider research community.

Activities focus on developing and enhancing professional, research and graduate

capabilities. The needs and achievements of candidates will be addressed and monitoredthrough the progress review process.

13. TRANSFER FROM OR TO ANOTHER AUSTRALIAN UNIVERSITY

13.1 Normally transfer from or to another Australian university should not occur within the first or

final year of candidature. Exceptions arise where the Principal Coordinating Supervisor

transfers to another university.

13.2 Time elapsed within the candidature at one institution is counted upon transfer in terms of the

total duration of candidature.

13.3 Transfer of candidature must not conflict with any policies set out by the Federal Government

with regard to the transfer of federally funded places.

13.4 Candidates who hold a scholarship should refer to the appropriate guidelines for the

scholarship regarding transfers.

14. REINSTATEMENT OF CANDIDATURE

14.1 A candidate who has voluntarily discontinued or whose candidature has been terminated for

non-payment of fees or failure to re-enrol may be considered for reinstatement by the HDRC.

An application for reinstatement must be supported by the Principal Coordinating Supervisor

and be recommended by the respective FRC to the HDRC.

14.2 Any application for reinstatement must be made within three years of the withdrawal or

termination for non-payment of fees or failure to re-enrol. Any debts to the University must be

paid in full before candidature can be reinstated. Normally scholarships will not be reinstated.

14.3 The application for reinstatement should follow the process as described on the Swinburne

Research website.

14.4 Any reinstatement of candidature for an international candidate will be immediately reported

to Swinburne International to ensure compliance with ESOS reporting requirements.

15. WITHDRAWAL

Withdrawal refers to the formal relinquishment of candidature by the candidate. A candidate

may withdraw from candidature at any time by submitting a duly completed and signedwithdrawal formthat will be noted by the HDRC.
http://www.swin.edu.au/research/sgrs/withdrawal.dochttp://www.swin.edu.au/research/sgrs/withdrawal.dochttp://www.swin.edu.au/research/sgrs/withdrawal.doc


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16. LOCATION OF STUDY

16.1 Programs of study may be undertaken on-campus, off-campus, at the premises of an industry

partner or partner institution, and/or offshore. Candidates and supervisors should come to an

agreement on contact arrangements and supervision, details of which must be appended to

the application for candidature.

16.2 Limitations may apply to the locations where international onshore candidates on a student

visa may study.

17. STUDY AWAY

17.1 Where candidates are planning to spend periods of time undertaking research interstate or

overseas, the candidate's supervisors and the relevant ADR need to approve the

documented supervisory arrangements.

17.2 Any ethical matters relevant to data collection away from the University need to be

considered and appropriate approval sought and gained.

17.3 Where practical, an external supervisor located where the candidate is undertaking the

research may be appointed.

17.4 Candidates travelling overseas are strongly advised to check the Travel Advisories on the

Department of Foreign Affairs and Trade (DFAT) website. Study away to countries with the

advice of Do Not Travel will not be approved.

17.5 Applications for study away must be submitted to Swinburne Research prior to departure, as

backdated requests will not be approved.

17.6 International candidates must contact Swinburne International for advice before travelling

overseas.

18. PROGRESS

18.1 Monitoring of Progress

Progress is monitored through a series of at least three major reviews during the candidature

period as well as through the completion and submission of progress reports. International

candidates must complete progress reports every six months. Local candidates must

complete progress reports annually. These components are used to monitor and manage

candidate progress to ensure early identification of needs and concerns, provide timely

feedback on progress and establish a clear plan of action.

18.2 Major Reviews Of Progress

There are 3 major reviews of progress during the period of candidature, the first of which is

the confirmation of candidature.

18.2.1 Confirmation of Candidature

The purpose of confirmation is to:

1. assess progress to date;

2. assess the potential of the candidate to complete a quality examinableoutcome in a timely manner;

3. evaluate the proposal in terms of clarity, coherence and feasibility with

respect to the research project;4. provide opportunity for academic contribution to the proposal;


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5. provide the candidate with an opportunity to demonstrate written and oralpresentation skills appropriate to PhD study;

6. publicly acknowledge a major milestone in the project and inform othersabout the research project.

Research candidates are enrolled on a provisional basis in the first instance,

except for those who have transferred from a higher degree by research atanother institution.

Confirmation processes normally commence between the 6 month (minimum)

and the 12 month (maximum) period of provisional enrolment for full time

candidates (or 12 to 24 months for part time candidates). After six months FTE

enrolment, the relevant Faculty must organise a confirmation review for the

candidate.

18.2.2 The Confirmation Panel

The confirmation panel includes senior academic staff with expertise relevant to

the proposed research, together with any additional membership co-opted for thepurposes of assessment of the oral and the written work at the stage of

confirmation. The Faculty ADR (or nominee) will advise the provisional

candidates of their confirmation panel.

The supervisory team will be in attendance to offer support, but will not be directly

involved in the assessment of the candidate.

18.2.3 The Confirmation Process

For confirmation, each candidate must:

a) prepare a 3 000 to 10 000 word research proposal in accordance with facultyguidelines;

b) make an oral presentation of the project (20 to 30 minutes) in a facultygraduate research seminar or similar forum;

c) verbally defend the proposed research to the confirmation panel; and

d) meet any special requirements noted at enrolment and necessary forconfirmation.

The research proposal will vary across disciplines with respect to content and

structure but should normally include:

a) a concise statement of the research question(s);

b) a critical summary and analysis of the relevant literature;

c) as appropriate to the discipline of study, an explanation of the conceptual

framework to be used and/or a summary of experimental methods andequipment requirements;

d) a summary of progress to date including preliminary data; resourcesdeveloped; ethics clearance;

e) an argument for the relevance and significance of the study;

f) a proposed schedule and time line for the phases of the study, based onsubmission;

g) a reference list;

h) a list of publications produced or presentations made during provisionalcandidature, where applicable.

A written report will be completed by the confirmation panel within 10 working

days of the confirmation review. The report is to be discussed with the candidatein full by the supervisory team (and, if necessary, the confirmation panel). A copy


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of the confirmation report must be forwarded to Swinburne Research no later

than 15 working days after the confirmation review.

18.2.4 Unsatisfactory Progress at Confirmation of Candidature Review

In the event that the confirmation panel decides against confirmation of

candidature, a formal warning of unsatisfactory progress will be made, in writing,to the candidate. The warning will state that if satisfactory progress has not been

demonstrated at the end of a period of 3 months, the intention is to:

a) terminate the candidature; or

b) make changes to the candidature as are specified in the warning, suchas conversion to a Masters by Research program.

The confirmation panel can notify the Faculty at any time during this 3 month

period that the candidate has made satisfactory progress and the candidate

would be considered as confirmed.

The candidate has the right of appeal, as set out in section 4 of the proceduresHDR Appeals. Supervision must be provided until a final determination is

made.

18.2.5 Subsequent Major Reviews of Progress

After the confirmation of candidature, at least two subsequent major reviews of

progress must be completed.

Table 1: Subsequent Major Reviews of Progress

Type Focus Form

Mid-candidature Review

At or prior to the end of the

24thmonth of candidature

(FTE) for Doctoral

candidates.



(FTE) for Masters

candidates.

What has been achieved and

what needs to be achieved?

Does the topic, method or

mode of analysis need to be

revised?

Are the support and

supervision arrangements

adequate to the task?

Has the research been

conducted in a way that is in

keeping with the appropriate

ethics clearance?

Is progress satisfactory?

Written and oral

presentation to a senioracademic audience.

Question and answer

session about the topic

and about support

arrangements.

Final Review prior to

Submission



(FTE) for Doctoral

candidates.



(FTE) for Masters

candidates.

Is the scholarly work ready

for examination?

Will the work be ready for

submission in 6 months

time?

Is progress satisfactory?

(At this stage also consider

nomination of examiners)

Written and oral

presentation by the

candidate providing a

summary of work to date

and progress toward a

final version of the

examinable outcome

presented to a senior

academic audience.


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18.3 Outcomes of Progress Assessments

The possible outcomes of progress assessments are:

Satisfactory Candidates progress is on schedule

Behind schedule Candidates progress is slow. An action plan must bedeveloped in conjunction with the supervisory team

outlining specific milestones the candidate must achieve.

A further review of progress must be conducted within

three to six months of the candidate being deemed to be

behind schedule.

Unsatisfactory Candidates progress is inadequate, and the candidate is

deemed to be At Risk. The At Risk procedure as set

out in Section 1 of the proceduresAt Riskmust be

implemented.

18.4 Progress Reports

18.4.1 With respect to Professional Doctorates , the above time frame may not be

appropriate and an alternative plan must be arranged by the Faculty. The plan must

include at least 3 reviews over the duration of the candidature.

18.4.2 Progress reports must be completed by the candidate and the supervisory team

regularly. A detailed end of year report form (all candidates) and a more succinct

mid year report (international candidates only) shall be completed at Faculty level

(signed off by the respective ADR) and reported to the HDRC. Faculties will report

to the HDRC on whether or not each candidates progress is satisfactory and where

not, details of the action plan that has been put in place will be submitted to SR for

recording and filing. Faculties are responsible for ensuring that such plans are put

into action and monitored. Where a major review has occurred within the last 6

month period, the relevant documentation must be attached to the given progress

report.

18.4.3 Candidates and supervisors must be involved in the progress reporting process.

Candidates must have access to the comments of the full supervisory team.

Candidates may also report directly to the ADR or to the Director of Graduate

Studies. Where the supervisor is the ADR, candidates may report directly to the

Director of Graduate Studies. Candidates may lodge a confidential report or

feedback to the ADR or to the Director of Graduate Studies.

18.4.4 Candidates will be kept informed of any action arising from progress reviews or

reports.

18.5 Other Progress Matters

18.5.1 The supervisory team must regularly address matters of progress with the

candidate, such as:

a) any concerns and how to address them;

b) changes to candidature status;

c) support needs;d) study targets/ outcomes;


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e) changes to topic or method;

f) extension of candidature;

g) conversion to another degree where relevant.

18.5.2 Where changes to candidature or conversion are sought, appropriate procedures

must be followed and relevant documentation must occur.

18.5.3 Supplementary progress reports may be submitted at any time, such as at the

conclusion of an action plan for management of risk.

18.5.4 All progress review outcomes and progress reports are confidential and must be

made available only to those with a valid reason for having access to them. This

would include the supervisory team, ADR, Director of Graduate Studies and

relevant administrative staff within the given Faculty or Swinburne Research.

18.5.5 Reports must not be used for any other purpose including provision to external

bodies or scholarship providers. Where such reporting is required, a separate

document must be prepared.

18.5.6 In the case of doctoral course work components, failure to complete a coursework

unit of study at the second attempt will be deemed unsatisfactory progress and

candidates will be placed at risk.

19. RESPONSIBILITIES OF THE CANDIDATE

It is the responsibility of the candidate to:

a) Comply with the policies and procedures governing the degree in which they are

enrolled, and with any relevant University or Faculty procedures;

b) Maintain regular contact with the supervisory team;

c) Take responsibility for bringing problems or difficulties in research to the attention of

the supervisory team and share responsibility for seeking appropriate solutions;

d) Maintain the progress of the work in accordance with the stages as discussed and

agreed with the supervisory team;

e) Provide and/or participate in regular progress reports and reviews when required by

the University, Faculty and/or supervisory team;

f) Follow, at all times, safe study/research practices relevant to the field of research,

and adhere to health and safety guidelines in places of study;

g) Obtain necessary ethics approvals prior to data collection, and collect, analyse and

present data in accordance with ethics requirements;

h) Ensure that original data are recorded in a durable and appropriately referenced

form and stored safely for the stipulated period;

i) Follow University policy on intellectual property and copyright and observe any

limitations on communication, publication or access to the thesis which have been

agreed with the University and any commercial partner or collaborator;

j) Become familiar with and utilise the resources, facilities and opportunities provided

by the University and the Faculty;

k) Endeavour to integrate into the intellectual community provided by the Faculty and

University to enhance the research program;

l) Acquire or improve the skills and knowledge required for the successful and timely


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completion of the research project;

m) Maintain up-to-date contact details with the appropriate University areas;

n) Ensure that professional conduct and behaviour is in accordance with the Code of

Conduct for Research policy and the General Misconduct policy;

o) Where the research program is a joint project with a commercial or industrialpartner, keep the supervisor(s) updated on all interactions with the commercial or

industry partner prior to and after meetings for advice and direction;

p) Seek approval from the appropriate source for all changes to candidature including

leave of absence, change of topic, change of study load, and change of supervisory

team.

20. RESEARCH SUPERVISION

All research supervisors must be accredited and receive access to research training as

appropriate.

Supervisory loads must be monitored by SR and by the respective ADR within faculties so

that they are manageable and in keeping with the maximum supervisory loads in order to

ensure that research candidates receive the necessary support.

20.1 Responsibilities of Supervisors

20.1.1 Supervisors are the primary source of support and expert guidance to candidates.

Each candidate will have at least two active supervisors, one of whom must be a

Swinburne staff member.

20.1.2 The first supervisor is designated the Principal Coordinating Supervisor and is

responsible, among other things, for the administrative aspects of the supervision of

candidature. The Principal Coordinating Supervisor must be a Swinburne staff

member unless a case is made and approved by the HDRC. Where there is only

one coordinating supervisor, the second supervisor is designated Associate

Supervisor.

20.1.3 Where co-supervision is in place, the team consists of the Principal Coordinating

supervisor and the Coordinating Supervisor. Each coordinating supervisor will make

equal contributions to the support of the candidate (though the Principal

Coordinating Supervisor is responsible for the administrative elements).

20.1.4 Associate Supervisors will play an active role throughout the candidature and make

a significant contribution. Associate Supervisors may be Swinburne staff members

or may be external to Swinburne. Additional members of a supervisory team, suchas external consultants, may be appointed as needed.

20.1.5 The following responsibilities apply:

a) Supervisors must ensure that they comply with their obligations under the

Australian Code for the Responsible Conduct of Research

http://www.nhmrc.gov.au/_files_nhmrc/publications/attachments/r39.pdf

b) Principal Coordinating Supervisors (and where relevant the Coordinating

Supervisor) will ensure that policy and procedures are understood and followed, as

well as manage and report on the candidates progress and advise the ADR on all

matters related to the candidature. Responsibilities are listed within the Statement

of Supervisory Practice: Swinburne University (Related Materials).
http://www.nhmrc.gov.au/_files_nhmrc/publications/attachments/r39.pdfhttp://www.nhmrc.gov.au/_files_nhmrc/publications/attachments/r39.pdfhttp://www.nhmrc.gov.au/_files_nhmrc/publications/attachments/r39.pdf


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c) The Principal Coordinating Supervisor is responsible for negotiating with the other

members of the supervisory team and the candidate on how the responsibilities

listed within the Statement of Supervisory Practice will be covered.

d) The supervisory team must ensure that candidates receive appropriate credit for

their work.

e) Where a member of the supervisory team is to be absent for more than three

months, the Principal Coordinating Supervisor is responsible for nominating an

acting replacement in consultation with the candidate. Such nominations must be

approved by the FRC and HDRC, and this appointment must occur prior to the

commencement of the period of absence.

f) Where the Principal Coordinating Supervisor leaves the University, or is to be

absent for more than three months, the Associate Supervisor will be appointed as

interim Principal Coordinating Supervisor.

g) Supervisors must fully disclose the nature of any working or other relationship they

may have, or have had, with the candidate prior to enrolment. Such disclosures

must occur as part of the supervisor nomination process at the time of application or

when a change of supervisors request is lodged. Supervisors must not be involved

in the admission, supervision, assessment or examination of students with whom

s/he has, or has had, a close personal relationship.

h) The ADR will ensure that supervisors have sufficient capacity to discharge these

responsibilities.

i) The supervisory team should have, between them, sufficient capacity to cover

matters of theory, research and method pertinent to the candidates topic, as well as

the capacity to proactively meet the candidatesneeds for support and advice. On

specific issues, where extra capacity is needed, an internal or external Consultant

may be appointed.

j) The supervisory needs pertaining to off-campus and off-shore candidates and

candidates placed in industry will be considered and accommodated where possible

at Faculty level.

20.2 Responsibilities of the Faculty

a) The Faculty will show due diligence with respect to the vetting of new applications

for HDR candidature.

b) The Faculty will monitor the progress of each candidate for the duration of the

candidature.

c) The Faculty will ensure that any changes to candidature are formally documented

and approved by the HDRC.

d) Where the Principal Coordinating Supervisor leaves the University, the Faculty will

arrange a replacement, or acting replacement in consultation with the candidate.

This appointment must occur prior to the departure of the Principal Coordinating

Supervisor.


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e) The Faculty will ensure that no conflict of interest exists within the supervisory

arrangements as a result of direct family relationships.

f) The Faculty will ensure that candidates are informed about appropriate language

support services.

g) The Faculty will adhere to the Universitys Minimum Resources Guidelines for HDR

candidates

http://www.research.swinburne.edu.au/higher-

degrees/documents/minimum_resources_research_candidates.pdf

h) The Faculty will assist the candidate with respect to advice, conflict resolution

and/or mediation, access to services and networks, and other support where

appropriate.

20.3 Criteria for Registration as a Research Supervisor

All research supervisors (Principal Coordinating, Coordinating, Associate, and External) must

be approved by the HDRC for registration on the Swinburne research supervisor register.

a) Normally each member of the supervisory team will hold a degree equal to, or

higher than, the research degree being supervised. The Principal Coordinating

Supervisor must hold a degree equal to, or higher than, the research degree being

supervised.

b) Both the Principal Coordinating Supervisor and the Coordinating Supervisor should

have, at least, one year of experience of research supervision.

c) An Associate Supervisor may apply to become a Coordinating Supervisor at

doctoral level once they meet the criteria below.

i. A letter of justification from the ADR (or nominee) of the relevant faculty stating

their support for the supervisor to progress from Associate Supervisor to

Coordinating Supervisor, in conjunction with either:

ii. Completion of one year minimum of active supervision at a doctoral level; or

iii. Supervision of a Masters by Research candidate to completion with a minimum

of one year in the role of Coordinating Supervisor.

An Associate Supervisor may apply to become a Coordinating Supervisor at

Masters level upon completion of one year of active supervision of a candidate at

either doctoral or Masters level.

d) Evidence of research productivity is required for ongoing registration. This will

normally include: research income, publications, and/or successful research degree

completions within the last 5 years.

e) Supervisor registers must be reviewed annually with each Faculty reporting to the

HDRC.

f) Staff on contract or casual appointments are normally ineligible for registration as

Principal Coordinating Supervisor or Coordinating Supervisor.

g) Where a supervisor is enrolled in a higher degree by research, the ADR must be

assured that no conflict of interest exists and that the enrolment is at a University

other than Swinburne.

20.4 Maximum Supervisory Load

The maximum supervisory load for a Principal Coordinating or Coordinating supervisor is 7

EFTSL (i.e. 7 full-time candidates or equivalent) and the maximum supervisory load for an
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associate supervisor is 7 EFTSL, with a maximum of 15 persons to be supervised by any one

supervisor at a time, in any supervisory role. Where two or more coordinating supervisors are

involved in co-coordinating supervision, the student load will be split equally between those

supervisors.

The maximum supervisory load for newly registered supervisors who have never supervised

a candidate to completion will be capped at 50% of the full supervision load. The cappedmaximum load for a coordinating supervisor is 3.5 EFTSL and the capped maximum load for

an associate supervisor is 3.5 EFTSL with no more than 7 candidates to be supervised by

any new supervisor at a time, in any supervisory role. This cap will apply until a completion is

achieved.

20.5 Supervisor Training

20.5.1 Newly registered supervisors must attend at least one session of the Swinburne

Supervision program within their first year of supervision.

20.5.2 All research supervisors should attend at least one session within the University

level program offered by Swinburne Research per annum.

20.5.3 Experienced supervisors are invited to contribute to the program and to mentor

other less experienced supervisors.

20.5.4 Faculty level discussions/ seminars/ conferences about supervision are

encouraged.

20.6 Change of Supervisor

Candidates may apply to change supervision arrangements at any time. An application must

be made to the relevant FRC and then be considered by the HDRC for approval.

20.7 Conduct of the Supervisor

If a concern is raised about the conduct of a supervisor (from a candidate, a colleague, an

examination report, or other), the issue must be investigated by the ADR (or nominee) within

the given Faculty. Confidentiality must be assured at this stage. Examples include, but are

not limited to, the neglect of ethical requirements, a lack of timely and appropriate feedback,

and inadequate contact or support.

If the concern is substantiated then a formal process will occur involving the ADR, the Dean

of the Faculty, the DVC-R (or nominee) and the Director of Graduate Studies. Outcomes may

include, for example, suspension of all supervisory duties until mentoring has occurred, an

audit of current supervisory commitments with current candidates, a reduction of the current

supervisory load, and/or a restriction on any future supervisory load.

The formal process will facilitate an in-depth review of the case in order to determine the

most appropriate outcome.

The process must be informed by, and conducted in keeping with, the Swinburne policy on

theConduct of Research.The process will be conducted in accordance with the principles of

natural justice for all involved parties.

21. CONVERSION FROM ONE HDR TO ANOTHER

21.1 In most disciplines a doctorate is now regarded as a prerequisite for a research or academic

career and supervisors should encourage candidates who are beginning a Masters by

Research to frame their proposal to allow for conversion, if appropriate.21.2 Candidates may apply for conversion from a Masters by Research to a doctorate with the
http://policies.swinburne.edu.au/ppdonline/showdoc.aspx?recnum=POL/2008/79http://policies.swinburne.edu.au/ppdonline/showdoc.aspx?recnum=POL/2008/79http://policies.swinburne.edu.au/ppdonline/showdoc.aspx?recnum=POL/2008/79http://policies.swinburne.edu.au/ppdonline/showdoc.aspx?recnum=POL/2008/79


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endorsement of the supervisory team, demonstrating the doctoral potential of the scholarly

work. Applications are submitted to the relevant FRC and then if recommended, are

submitted to the HDRC for consideration.

21.3 If approved, the duration of the candidature expended within the Masters program is

deducted from the candidature time within the PhD program (and vice versa).

21.4 Applications for conversion should normally occur by the end of the first year of FTE

candidature and will not normally be approved in the final stages of candidature. International

candidates must seek advice on ESOS and visa requirements before applying for conversion.

21.5 To convert, the candidate must provide:

(a) a summary of what has been produced;

(b) an outline of the scope of the work and the ways in which the work overall will be

significant and original;

(c) submission of the work completed at this stage; and

(d) a statement of support from the supervisory team.

21.6 Conversion from PhD candidature to Masters by Research candidature will follow the

abovementioned process. A plan for completion of the work in the reduced time available

must be submitted.

21.7 Conversion of enrolment to, or from, Professional Doctorates will follow the abovementioned

process.

22. PUBLICATION PRIOR TO SUBMISSION

Candidates are encouraged to publish work prior to submission of the examinable outcome

and may incorporate that work into the final outcome. Work previously published must be

appropriately identified and any input from other authors must be acknowledged inaccordance with authorship requirements as outlined in the Conduct of Research policy.

23. EXAMINATION

23.1 Conduct of Examination

The examination mode must be selected at the time of application for candidature. Changes

will not normally be approved.

Guidelines for the conduct of examination are detailed on the SR website.

23.2 Selection of Examiners

23.2.1 Examiners must be selected by the supervisory team at least 3 months before the

expected date for the submission of the examinable outcome.

23.2.2 Three examiners must be selected by the supervisory team, and nominated by the

Principal Coordinating Supervisor, for recommendation by the relevant FRC to the

HDRC. Once the HDRC approves the nomination, the examinable outcome (when

submitted) will be sent to the first and second nominated examiners. A third

examiner is held in reserve and may be used in the case of conflicting

recommendations or in the event that one of the original examiners is no longer

able to undertake or complete the process. In the case of a viva or an examination

by performance or exhibition, all three examiners will attend the event and conductthe examination.


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23.2.3 Normally each examiner should hold a degree at least equivalent to the candidates

degree of enrolment. In rare cases an examiner may be approved without the

requisite degree qualifications on consideration of their other scholarly

achievements. In such cases, all other examiners will hold a degree at least

equivalent to that for which the candidate is being examined.

23.2.4 Normally examiners should not be collaborating with any member of the supervisory

team either wholly or partly, at any time during a candidates period of enrolment.

Collaboration may include publishing, teaching or researching, or any combination

thereof. Any collaboration between an examiner and a supervisor(s) must be fully

declared on the Nomination of Examiners form and normally should have occurred

at least five years prior to the commencement of the candidates enrolment.

23.2.5 The Principal Coordinating Supervisor contacts the prospective examiners to

ensure that they are willing to examine and that they will be available during the

anticipated examination time period.

23.2.6 Supervisors and candidates must fully disclose the nature of any working or other

relationship they may have or have had with any examiner. Such disclosures mustoccur as part of the nomination of examiners process.

23.2.7 Examiners must not be publishing with the candidate nor have acted in a

supervisory or consultative capacity, either wholly or partly, at any time during a

student's period of candidature.

23.2.8 Ex-Swinburne staff and students will not normally be approved as external

examiners for five years following their departure from Swinburne University. This

practice is actively discouraged.

23.2.9 Two or more external examiners from the one organisation will not be approved.

23.2.1

0

Candidates have the right to indicate whom they would not wish to act as examiner.

23.3 Communication with Examiners

23.3.1 Once the examination process has commenced, all communication with examiners

must be channelled through Swinburne Research.

23.3.2 Examiners must be informed that the examinable outcome is confidential and

should not be discussed with any other party. In some circumstances, the

examiners may wish to confer. This must be arranged through the Director,

Graduate Studies.

23.3.3 Upon completion of the examination the examiners normally return the bound copyof the examinable outcome to the University. An examiner may make a request to

keep the copy. This is allowed if the candidate agrees and the examiner agrees to

maintain the confidentiality requirements.

23.3.4 In the case of examination by viva, the examiners will not confer prior to the day of

the oral examination.

23.4 Panels of Examiners

23.4.1 Doctorate

The examination panel will comprise of two examiners selected from the three nominated and

approved external and independent examiners.

Examiners shall be of high standing in the field in which the candidates research program is


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located and normally be working in an academic setting.

Normally, at least one of the first two nominated examiners will be located within an overseas

university.

23.4.2 Masters by Research

The examination panel will comprise of two examiners selected from the three nominated andapproved external and independent examiners.

Examiners shall be of high standing in the field in which the candidates research program is

located and normally be working in an academic setting

The nomination of at least one examiner from an overseas university in the first two

nominated examiners is strongly encouraged.

23.5 Submission of Examinable Outcome

23.5.1 Once the examinable outcome is in a form ready for submission and all

presentation requirements have been met, the Principal Coordinating Supervisor

(as well as the relevant ADR) should sign the submission form, signifying that s/he

is satisfied that the examinable outcome is of a suitable standard for the degree for

which it is submitted, is presented well and may be sent to the examiners. The

Principal Coordinating Supervisor has the right to refuse to sign off the examinable

outcome if s/he is not prepared to support the submission.

23.5.2 In rare cases, where a dispute arises and a candidate wishes to submit the

examinable outcome for examination without support of the Principal Coordinating

Supervisor, a case must be made to the HDRC.

23.6 Format

23.6.1 Where the format of the examinable outcome is a thesis (dissertation), thepresentation requirements detailed on the Swinburne Research website must be

adhered to unless an exception has been approved by the HDRC for a departure

from those requirements.

23.6.2 Where the format of the examinable outcome is other than that of a thesis

(dissertation), the HDRC should be advised at the time of application for

candid