Higher Degrees by Research Candidature Policy

Transcription

1 Higher Degrees by Research Candidature Policy Responsible Officer Deputy Vice-Chancellor (Research) Approved by Vice-Chancellor Approved and commenced January, 2015 Review by January, 2016 Relevant Legislation, Ordinance, Rule and/or Governance Level Principle Responsible Organisational Unit Education Services for Overseas Students (ESOS) Act 2000 Higher Education Support Act 2003 Higher Education Standards Framework (Threshold Standards) 2011 Ordinance 8 Student Complaints Ordinance 9 Student Discipline Rule 3 Admission and Student Progress Rule 4 Rules of Graduate Research GLP 12 Academic Standards GLP 13 Quality Management Framework Division of the Deputy Vice-Chancellor (Research) CONTENTS 1 Objective Scope Policy Provisions Duration of program Induction Responsible conduct of research Work health and safety Travel Inclusion, Diversity and Equity Mental Health and Wellness Insurance Attendance requirements Level of Enrolment: part-time or full-time Work/Study Commitments Leave Entitlements Annual Leave Sick Leave Extension or Suspension of Candidature on Medical Grounds Maternity or Paternity Leave Minimum Infrastructure Standards Annual Review of Progress of Candidates Unsatisfactory Academic Progression Confirmation of Candidature Confirmation requirements Confirmation of Candidature Outcomes Higher Degree by Research Candidature Policy (January, 2015)

2 3.8 Graduate Skilling and the Research Training Experience Graduate Certificate in Research Variations of Candidature Varying Enrolment: Full-time to Part-time or Vice Versa Leave of Absence and Additional Leave Change of Thesis Topic and/or School Place of Candidature Extension of candidature Withdrawal Termination of Candidature Misconduct Academic Misconduct Research Misconduct Complaints, grievances and resolving difficulties General Prevention of Inappropriate Behaviour, Harassment and Discrimination Responsibilities The Dean of Graduate Research is responsible for: Faculty Deans and Institute Directors are responsible for: Heads of School are responsible to Faculty Deans/Institute Directors for: Graduate Research Coordinators are responsible to the Heads of School for: Definitions and Acronyms Supporting Documentation References Acknowledgements Versioning Higher Degree by Research Candidature Policy (January, 2015)

3 1 Objective The objectives of this Policy are to outline: the principles and procedures for managing variations to candidature within a Higher Degree by Research (HDR) course at the University; and the policy framework within which the University monitors and manages the satisfactory progression and completion of HDR Candidates within the permitted duration of their course. 2 Scope This policy applies to: all domestic and international Candidates enrolled in a HDR course (including Masters Degree (Research), Doctoral Degree and Professional Doctorates) at the University of Tasmania; and all staff of the University (employees and adjunct appointments) involved in the supervision and/or management of HDR candidates at the University. 3 Policy Provisions 3.1 Duration of program HDR degrees must be completed within the Degree Periods prescribed in Clause 11 of Rule 4 Rules of Graduate Research (Rule 4). Candidates will be encouraged and assisted as far as possible to undertake the work required to complete the degree within 2 years full time for Masters Candidates and 3 years full time for Doctoral Candidates and no longer than the maximum Degree Period defined in Clause 11 of Rule 4. Where candidature is delayed by factors outside the control of the Candidate, the Dean of Graduate Research may grant an extension beyond the Maximum Degree Period under Clause 11.4 of Rule 4. Such extensions will be considered on a caseby-case basis and will be granted only under exceptional circumstances (see section of this policy). In exceptional circumstances an application can be made to the Dean of Graduate Research to approve a reduction to the minimum degree period. Applications must be made in writing from the Primary Supervisor with approval from the GRC and Head of School. 3.2 Induction The University will provide all new Candidates with an induction that includes, but is not limited to information on expectations, responsibilities, degree requirements, progress procedures, research integrity and ethics, health and safety procedures and the availability of support services. The School of Enrolment must provide additional inductions, including where relevant, inductions to specialised laboratories, on and off-campus Responsible conduct of research The University is dedicated to creating and maintaining an environment that promotes the responsible and ethical conduct of research. 3 Higher Degree by Research Candidature Policy (January, 2015)

4 The University encourages integrity in research by supporting research that is built on a commitment to honesty, respect, objectivity, accuracy and lawfulness. All research conducted at the University must comply with all relevant legal and regulatory requirements and University policies, procedures and guidelines including the University s Responsible Conduct of Research Policy and the Australian Code for the Responsible Conduct of Research (2007). Research activities involving human participants (including the use of their data or tissues/samples) must be conducted in accordance with the National Statement on Ethical Conduct in Human Research (2007) and must be approved by Tasmania Social Science Human Research Ethics Committee or the Tasmania Health and Medical Human Research Ethics Committee. Research and teaching activities involving the use of animals must be conducted in accordance with the Australian Code of Practice for the Care and Use of Animals for Scientific Purposes (8 th Edition, 2013) and must be approved by the University Animal Ethics Committee. Research activities involving gene technology must comply with relevant legislation and guidelines relating to the use of gene technologies in research, be conducted in accordance with the University s Gene Technology Policy, and be assessed by the Institutional Biosafety Committee (IBC) and, where necessary, licensed by the Office of the Gene Technology Regulator (OGTR) Work health and safety HDR Candidates must: comply with University policies and standards for the management of risk in relation to work health and safety; attend work, health and safety sessions within the School of Enrolment; and review the requirements specific to their research, as set out on the University work health and safety website. HDR Candidates who are undertaking high risk field work are required to use FieldTeq for the management and documentation of field activity risk as per the University Minimum Standard - Field Activity Travel All HDR Candidates are required to comply with University Travel policies, procedures and guidelines when undertaking travel associated with their research project and research training, including attending conferences and workshops regardless of the source of funding. All domestic and international travel for research and research training purposes must be approved well in advance of travel being undertaken Inclusion, Diversity and Equity Respect for diversity depends upon our ability to be open and sensitive to the difference of others and our own difference to them. Respect for diversity means an acceptance that there are many different ideas and lived experiences contributing to the University community. We value a University community where ALL staff and students can contribute freely to a vibrant and productive social and work environment. 4 Higher Degree by Research Candidature Policy (January, 2015)

5 The University is guided by the following set of principles and it is expected that all members of the University community abide by these principles. We the University of Tasmania community: Are responsible for creating and promoting inclusive research, learning, teaching and working environments open to difference, welcoming of diversity, intolerant of harassment and discrimination; where all people are treated with respect, fairness and justice. Recognise human diversity as an asset and strength; acknowledging its potential as a source of vitality, creativity and growth. Acknowledge equitable practices as key enablers of participation and opportunity. Integrate inclusion, diversity and equity into University planning and practice, through shared ownership and responsibility. Enable each other to build the skills and confidence to implement, advocate, and model inclusive practices assisted by clear policies, processes and professional development The University requires all Staff to complete the EO online Module Fair Play on Campus and HDR candidates are encouraged to complete this module to build their understanding of inclusion, diversity and equity issues. For more information about resources available to students please visit the Inclusion, Diversity and Equity website Mental Health and Wellness The University is committed to providing support to HDR candidates such that they can successfully complete their research degree in a reasonable timeframe. Many candidates withdraw from candidature for personal reasons rather than reasons related to the content or technical nature of the research. HDR candidates will have mental health issues and psychological distress at least at the level of the general population. In addition as noted by Denholm and Denholm (2012, p.165), doctoral candidature requires a huge personal emotional investment that may reasonably trigger heightened anxiety as a result of increased personal, public and academic performance expectations Mental health issues can contribute to: candidates withdrawing from university life; candidate attrition; long completion times; a candidate s reluctance to return to candidature; and/or candidates struggling to complete. The University adopts the following principles in support of the prevention, early intervention and support for HDR Candidates facing mental health issues. To support the mental wellness the University will work towards: improving the engagement of candidates in the research/social life of the university so that they may access peer support; developing a supportive HDR culture where the highs and lows of the candidature journey are normalized and avenues of support are known; and 5 Higher Degree by Research Candidature Policy (January, 2015)

6 providing clear processes for candidates who feel they have unresolved issues with candidacy, so that issues can be resolved early and with minimal damage to interpersonal relationships. To increase the early intervention for candidates experiencing mental health issues the University will: providing training and clear guidelines for supervisors to improve their capacity to identify mental health issues in their candidates; facilitate candidates to seek help when issues are suspected or confirmed; identify and work to resolve candidacy/supervision issues as soon as practical to prevent escalation where possible; and support candidates to remain working on their research projects where possible. In managing candidates on medical leave the University will: maintain appropriate contact with candidates while they are on medical leave to improve their chances of successful return to candidature; ensure individuals understand their responsibilities when on medical leave and make return dates and expectations clear; encourage the candidate to maintain contact with supportive colleagues, peers and/or research teams as appropriate; and ensure the supervisory team address any identified candidature issues prior to return to candidature where possible. In supporting a candidature to return to candidature the University will: develop a return to candidature plan with the candidate that is flexible and contains clear expectations; provide information to medical practitioners who are likely to be signing medical leave forms so that they understand the reality of full-time HDR study and the pressures inherent in completion; and discuss options of withdrawal with the candidate where return to candidature seems unlikely after all options have been used. Candidates, Supervisors, and GRCs should refer to the Supporting Mental Wellness in Higher Degree by Research Candidates Procedure for more information about practical approaches and the resources available to support mental wellness in HDR Candidates Insurance HDR Candidates are covered by University Insurance as per the Insurance Policy and Insurance Guidelines. HDR students are only covered by Insurance while on University business and while in compliance with all University policy, procedures and guidelines. HDR Candidates should review the information available on the Financial Services Insurance website. 6 Higher Degree by Research Candidature Policy (January, 2015)

7 3.3 Attendance requirements The duration of the academic year for HDR candidates is 48 weeks 1. The University expects all HDR Candidates to: commit appropriate time to their research in line with their level of enrolment; be available to complete any coursework and/or skills training requirements; engage in continuous interaction with their supervisors; and participate in the intellectual and research activities of the School and the wider community of scholars at the University Level of Enrolment: part-time or full-time Full-time Part-time During full-time enrolment, a Candidate is required to devote, on average, at least 38 hours each week between Monday to Friday inclusive and usually during normal business hours on each of those days, in pursuit of their study program. These days need to take into consideration attendance required at any coursework or training at different stages of enrolment. In order to undertake part-time enrolment, a Candidate must be able to devote on average at least 19 hours each week to their study program, where at least one of these days is between Monday and Friday inclusive, and during normal business hours on each of those days. This requirement will enable the Candidate attend the University to meet with the supervisors or attend seminars, workshops or other academic activities including coursework or training at different stages of enrolment Work/Study Commitments The primary focus for HDR candidates is their research. Full-time HDR Candidates may undertake, limited work experience or employment provided that work experience or employment does not interfere with their research nor exceed approximately 20% of a full time load, or coursework that does not exceed the equivalent of 30% of a full time equivalent load across the duration of candidature. The undertaking of paid employment and/or coursework beyond that prescribed in this policy and/or the letter of offer should be accommodated in the research plan, agreed with the supervisory team, and justification provided that these commitments will not interfere with the proposed research or be in conflict with any scholarship funding commitments. International HDR Candidates are required to confirm their eligibility to work under the conditions of their immigration visa. Approved work and/or study commitments cannot be used as a justification for requesting extensions to candidature and/or scholarship. 1 Candidates are enrolled for 52 weeks of each calendar year and are entitled to 4 weeks annual leave. 7 Higher Degree by Research Candidature Policy (January, 2015)

8 These conditions do not apply to work experience or employment undertaken outside of the hours of full-time enrolment as defined in section Leave Entitlements Annual and personal leave are managed by the Primary Supervisor. All HDR Candidates are entitled to sick, annual and maternity or paternity leave in the course of their candidature, as detailed below. In the case of scholarship holders, there may be provisions for paid leave. Candidates should check their scholarship terms and conditions. In instances where the scholarship disallows paid leave, candidates are required to suspend scholarship payments for the period of leave Annual Leave HDR Candidates are entitled to receive up to 20 working days recreational leave per year. Annual leave may be accruable but will be dissolved upon submission of thesis or termination or expiry of candidature. This category of leave is to be processed within a Candidates School of Enrolment and is included within EFT candidature timeframes Sick Leave HDR Candidates are entitled to ten working days sick leave per year. These leave entitlements may be accrued over the EFT years of candidature and dissolve upon submission of thesis or termination or expiry of candidature. Sick leave that continues for more than 10 consecutive days must be dealt with under of this policy. A candidate who is absent for a period exceeding two consecutive days due to illness must supply their Supervisor with a medical certificate from a health practitioner or medical professional. Sick leave entitlements may also be used to cover leave for candidates caring for sick immediate family members. This category of leave is to be managed within a Candidate s School of Enrolment and is included within EFT candidature timeframes Extension or Suspension of Candidature on Medical Grounds Candidates are entitled to an extension/suspension of candidature on medical grounds for periods of illness lasting longer than ten consecutive working days. To be eligible for an extension/suspension on medical grounds, the Graduate Research Office requires a completed Change of Candidature form in conjunction with a Medical Proforma as per the Higher Degree by Research Candidature Procedures. Extensions/suspensions on medical grounds are subject to a candidate completing the Medical Proforma in conjunction with a medical professional. The Medical Proforma provides evidence of the nature of the illness or injury and how it impacts 8 Higher Degree by Research Candidature Policy (January, 2015)

9 on candidature as well as the estimated duration of the absence and supports the candidate s application for extension/suspension on medical grounds. Information concerning a candidate s medical condition will not be released without permission from the candidate. Normally, an extension/suspension on medical grounds will only be granted in one month blocks. Candidates must disclose any pre-existing health conditions which may affect their HDR work at commencement of candidature to assist with management of their candidature. Applications on the basis of long term conditions will be considered with reference to any previous history of extension/suspension on the same basis and with reference to any Candidature Management Plan that is currently in place. Approval of applications on the basis of long-term conditions may involve an ongoing review of the candidate s Research Plan and milestones. In all but exceptional circumstances, the medical practitioner must examine the candidate on or before the period covered in the medical proforma. ie. A medical proforma is not to be retrospective Maternity or Paternity Leave HDR candidates are entitled to a maximum of 12 months maternity leave for each pregnancy in the course of their candidacy. Subject to the approval of the Dean of Graduate Research, maternity leave may also be approved if the candidate has adopted a child. Maternity leave may commence on a date no earlier than six weeks before the expected date of birth and in the case of adoption on the arrival date of the adopted child. In both instances, proof must be provided (of pregnancy and expected birth date; or of adoption). Candidates are entitled to five days of parenting leave at the time their partner gives birth or they adopt a child. Candidates in receipt of a scholarship should check the conditions of that scholarship for any paid entitlements and/or limitations that may apply. 3.5 Minimum Infrastructure Standards The Faculty Dean/Institute Director is required to ensure that there is an appropriate level of research infrastructure available for HDR Candidates as per the Higher Degree by Research Minimum Infrastructure and Resources Policy. 3.6 Annual Review of Progress of Candidates Supervisory teams are responsible for monitoring and reporting on the progress of Candidates against agreed milestones and for reporting on that progress to the Graduate Research Coordinator and the Dean of Graduate Research. HDR course milestones operate as clearly identifiable goals. Candidate progress is monitored by the Dean of Graduate Research against timely achievement of these milestones. 9 Higher Degree by Research Candidature Policy (January, 2015)

10 To facilitate successful completion within a reasonable timeframe, the progress of HDR candidates will be formally reviewed every 12 calendar months until submission. The first annual review will involve a confirmation of candidature, as detailed in Section 3.7 of this policy. Annual reviews of progress will be conducted by a Review Committee consisting of all members of the supervisory team and chaired by the Graduate Research Coordinator. Additional expertise may be included to provide unbiased appraisal of and critical input to the proposed research. These additional review committee members would usually be from the same Faculty or Institute, although external members may be sought from other Faculties/Institutes, external research institutions or relevant industry collaborators. The Candidate has the right to have an additional person, who is not an immediate family member or legal representative, present. Annual reviews involve the assessment of: a Candidate s academic development and performance against the agreed milestones stated in the Candidate s research plan; and the adequacy of research infrastructure and resources (including supervisory team relationship) needed by the Candidate to complete the research project within the maximum degree period. A report on the review and a detailed progress statement from the Candidate must be provided by the Graduate Research Coordinator to the Dean of Graduate Research by the prescribed date. Continuation of candidature is subject to a satisfactory report as per section of the Higher Degree by Research Candidature Procedures. Where the outcome of any review determines that academic progression is unsatisfactory, section of this policy applies. Where the outcome of any review determines that research infrastructure and/or resources (including supervisory team relationship) are inadequate, any proposed changes to research infrastructure and/or resources must be approved by the Faculty Dean /Institute Director Unsatisfactory Academic Progression Candidates who receive a C rating at their Annual Review of Progress must adopt an agreed Candidature Management Plan (CMP) to ensure closer supervision of a candidate s project over 1 year, consisting of two 6 month periods. In some circumstances, it may also be appropriate for Candidates to be put on a CMP outside of the normal Annual Review Process. It is acknowledged that there are many reasons why Candidates may experience problems and the University is committed to assisting Candidates to a successful completion. Candidature Management Plans are designed to assist Candidates to identify and work towards overcoming problems that may be encountered at any time throughout their candidature. Candidate Management Plans should be implemented in accordance with Section 3.8 of the Candidature Procedures. 3.7 Confirmation of Candidature As specified in clause 14.2 and 14.3 of Rule 4, a Candidate will participate in a Confirmation of Candidature process which is required to be concluded before the end of the first 12 months of candidature. This process provides the opportunity to review the Candidate s academic development and performance, research plan, and resources and to make a recommendation about the viability of candidature. 10 Higher Degree by Research Candidature Policy (January, 2015)

11 The Confirmation of Candidature process, as outlined below, should demonstrate a candidate s capacity to undertake their proposed research project. It is intended to assess: 1. the academic preparedness of the Candidate and whether they have developed a clearly defined, coherent and feasible research project and has documented this adequately in the research plan; 2. whether the Candidate has met coursework requirements as specified in their letter of offer; 3. whether other specific requirements (e.g. obtaining ethics approval), have been met; 4. the suitability of the supervisory team to support the Candidate to completion; 5. whether the Candidate s oral and written skills are sufficient for HDR study; and 6. the likelihood of the Candidate completing their higher degree by research within the maximum degree period Confirmation requirements Peer review An assessment of the viability of candidature must involve the peer review of the proposed research plan by senior academics within the discipline and external to the supervisory team. The purpose of this review is to test: the merit and integrity of the proposed research; whether the research is of a suitable scope and standard for the degree; and whether the candidate has the capacity to complete the project and undertake the degree at the required level. Peer Review of the proposed research can include the following: critical review of the research plan; and/or providing critical feedback on the proposed research at the candidate s confirmation seminar; and/or participating in the Confirmation meeting with permission from the Chair of the Review Committee. Research Plan The Research Plan is the blueprint for a candidate s HDR; it maps its aims, methods, directions and milestones. It is recognised that different disciplines have varying degrees of project definition at inception. The first draft of the Research Plan must be completed at 3 months EFT and submitted to the Graduate Research Coordinator for peer review. The research plan should provide sufficient information for the supervisory team to comment on its suitability for the nominated level of study. The plan 11 Higher Degree by Research Candidature Policy (January, 2015)

12 must contain at a minimum: the working title of the thesis, together with the conceptual framing of the research and an outline of the research and/or scholarly and creative activity to be conducted; the likely significance and impact of the research and original contribution that is expected to be made; where appropriate, issues surrounding ethics, budgetary requirements and access to infrastructure; and the entire timetable and forward plan for a Candidate s HDR including a set of milestones to be agreed with the supervisory team. The timetable should aim for submission at: 24 months full time (48 months part time) for Masters Degree (Research); or 36 months full time (72 months part time) for a Doctoral Degree. By 12 months EFT the Research Plan should have been fine-tuned and any issues affecting progress discussed, along with forward planning for the remainder of candidature. The Research Plan must be reviewed and if adequate and appropriate for the discipline, approved by the Review Committee at Confirmation. The Research Plan is a dynamic document and should be continually updated throughout candidature and approved by the supervisory team and GRC at each annual review. However, at the end of the first year the Supervisory Team and Candidate should have settled on a framework that can be modified with new developments and opportunities bearing in mind the overall timelines. Ethics requirements Where a research project is dependent on research activities involving human participants, genetic material or animals, a Candidate must provide, at minimum, a careful presentation of all the foreseeable issues likely to be encountered in obtaining ethical clearance to undertake those research activities, as set out in the University s Research Ethics Policy. Where a pilot study is required prior to full ethics approval being sought then a draft ethics application for that stage of the study should be provided. Where approvals from the Human Research Ethics Committee (s) or the Animal Ethics Committee has been received, full documentation of the received approval(s) should be provided to the Review Committee prior to Confirmation of Candidature. Candidates must not commence research activities involving human participants or animals until the required approvals have been obtained by their Primary Supervisor. Written work A candidate must submit a satisfactory written component, of sufficient length to provide evidence that the Candidate has the ability to write English at a HDR standard (within the relevant discipline). The written component must be work undertaken after candidature has commenced at the University, relevant to the thesis and should be: presented in a format and style as determined by the requirements of the discipline and following advice from the supervisory team, be 12 Higher Degree by Research Candidature Policy (January, 2015)

13 correctly referenced. accepted by peer review (at least through the Review Committee) as a piece of work appropriate to the discipline. The written work could, but is not required to be a first or pre-draft of introductory chapters of a thesis or exegesis, or a paper/monograph for publication. Oral presentation A satisfactory public oral presentation on the candidate s research appropriate to the discipline and level of study, presented to the School (or other equivalent academic group) in a way that demonstrates the Candidate s oral competence, presentation skills and the ability to respond to questions about the research project. The presentation may be accompanied by a Powerpoint presentation, performance or exhibition. The presentation should be followed by a time for questions and answers. Members of the supervisory team are expected to attend this presentation. The oral presentation may serve a variety of functions: It provides the candidate with the opportunity to discuss aspects of their research to a group of peers and academic staff and receive expert and constructive advice on the proposed project, its scope, feasibility and originality at the appropriate level. It is also an opportunity for comment on the theoretical approach, method and/or design of the project. It is encouraged that feedback from the oral presentation is utilised when finalising the written component of Confirmation and; the oral presentation is treated as an opportunity to clarify issues arising from the drafting process. Supervisor-Candidate meetings A minimum of five mandatory meetings involving all members of the supervisory team. Coursework Doctoral Degree Candidates: Completion of at least 50% of the Graduate Certificate in Research, including XGR501 and XGR502 OR one elective unit. Masters by Research Candidates: Completion of XGR501 and enrolment in one other unit from the course schedule. Professional Doctorates: Completion of at least 50% of coursework as specified on the letter of offer, including XGR501. Any additional criteria Including additional meetings, presentations or training imposed by the Degree Program, Faculty/Institute or School of Enrolment or contained in the Letter of Offer Confirmation of Candidature Outcomes At the final stage of the Confirmation of Candidature process, the Review Committee will recommend either that: 13 Higher Degree by Research Candidature Policy (January, 2015)

14 1. The Candidature is confirmed (and if the Candidate is a scholarship holder, the continuation of the scholarship is also confirmed), or 2. The Candidature Confirmation period is extended for no longer than three months EFT (and if the candidate is a scholarship holder, confirm the continuation of the scholarship to the end of the probationary period) and after that period a new recommendation will be made (only one extension can occur, unless there are exceptional circumstances), or; 3. The Candidature for a Doctoral Degree be converted to candidature at the level of a Masters Degree (Research) (and if the candidate is a scholarship holder, subject to the conditions of the award, the tenure of that scholarship be converted to the duration appropriate for a Master Degree (Research)). 4. The candidature be terminated and the Candidate not be permitted to continue candidature, or; 5. The Candidature for a Masters Degree (Research) be converted to candidature at the level of a Doctoral Degree and if the candidate is a scholarship holder, the end date of the award be extended in line with the conditions of an award for Doctoral candidature. All Confirmation of Candidature outcomes will be reported to and considered by the Dean of Graduate Research. All Candidates will receive notification advising them of the outcome of the Confirmation of Candidature process. Any Candidate, who has not completed a Confirmation of Candidature process by the nominated date or by the end date of an approved extension period, will be notified by the University that their candidature is to be terminated under Clause 17 of Rule Graduate Skilling and the Research Training Experience While research remains a fundamental defining characteristic of Higher Degrees by Research, developing the academic skills and professional attributes of HDR candidates is considered best practice for research training. Research training involves building capabilities and skills needed to become a researcher and to undertake the research itself. These skills can be acquired through: Supervised research training: the development of deep subject expertise and a rigorous methodological grounding for conducting research at the highest level. Peer learning in collegial environments: making sense of key concepts as a collaborative activity and engaging in opportunities for reflection on the research training process. Structured generic and transferable skills training: developing professional attributes and employability skills to engage in research and contribute in a wide range of employment contexts Graduate Certificate in Research The University s Graduate Certificate in Research has been introduced by the University to assist HDR Candidates to systematically acquire the skills and training needed to complete their research project. The Graduate Certificate forms a key component of the University s commitment to internationalise and increase the transferability of the University s Higher Degree by Research programs, improve the HDR Candidate experience and retention rates, and ensure timeliness of completion of Higher Degrees by Research. 14 Higher Degree by Research Candidature Policy (January, 2015)

15 Doctoral and Masters (Research) Candidates are enrolled concurrently in this Course with their Higher Degree by Research and undertake a range of training activities and career development opportunities that assist in developing high-level research, communication and management skills. Course requirements for the Graduate Certificate in Research are provided in the course specification in the University course and unit handbook. Some Doctoral degrees will have different coursework requirements. These requirements will be stated in the Candidate s letter of offer. Candidates enrolled in a Professional Doctorate should refer to the relevant course specifications in the University course and unit handbook for guidance on coursework requirements. HDR Candidates may apply for academic credit towards the Graduate Certificate in Research according the University Rule 3 Admission and Student Progress. An Application for Credit form can be found at: Variations of Candidature With the endorsement of their supervisory team, GRC and Head of School, HDR Candidates may apply to the Dean of Graduate Research to vary the conditions of their candidature. Applications should be submitted at least 4 weeks prior to the requested date of the change to candidature. Any change to conditions of candidature must be approved in advance of the date the change is to take effect. Retrospective applications will not normally be approved, unless the reason for the variation was unforeseen. Proposed changes to conditions of candidature should be discussed with the supervisor(s) and GRC. A request to change supervision arrangements, or to extend, suspend, withdraw or alter conditions of candidature must be submitted on the appropriate form to the Graduate Research Office. The University reserves the right to request additional information. The application cannot be finalised until requested information is provided. The Candidate must notify the University of any changes to personal details such as name, address or citizenship, and provide information on other circumstances which may affect the progress of the degree. Candidates who are in receipt of a scholarship must check the conditions of their award as an application to vary candidature may affect the tenure of the scholarship and their eligibility to retain the scholarship Varying Enrolment: Full-time to Part-time or Vice Versa A Candidate may convert a Full-Time enrolment to Part-Time enrolment or vice versa where: the Candidate makes a written application to the Graduate Research Coordinator for variation; the Graduate Research Coordinator and Head of School supports the application having formed the view that: 15 Higher Degree by Research Candidature Policy (January, 2015)

16 1. the School will have sufficient resources to facilitate completion of Candidature with respect to supervision, funding and access to relevant facilities; 2. any Thesis submitted by the revised expiry of the Maximum Degree Period will still form a supervised, independent and significant contribution to knowledge; and the Faculty/Institute supports the application. the Dean of Graduate Research approves the application. International Candidates must check the requirement of their visa prior to submitting an application for part-time candidature Leave of Absence and Additional Leave Candidates who wish to take a leave of absence from their candidature under clause 16 of Rule 4 must apply in writing as per section 3.10 of the Candidature Procedures. Within the maximum degree period of an HDR degree as specified in clause 13 of Rule 4, a Candidate may take a leave of absence from their candidature on medical or personal grounds for a cumulative period of up to 12 calendar months. Unless there are circumstances considered exceptional by the Dean, a leave of absence on non-medical grounds will not be permitted: prior to confirmation of candidature; and in the final 6 months of a Doctoral Degree or in the final 3 months of a Masters Degree (Research). A candidate may apply for a leave of absence on medical grounds at any time as per section of this Policy. Where a leave of absence is approved by the Dean of Graduate Research, the total length of the maximum degree period remains unchanged but the expiry date will be revised in proportion to the approved leave of absence Change of Thesis Topic and/or School It is expected that refinements to the research topic will occur from time-to-time, and in particular at the time the final version of the thesis is drafted. There is no requirement to notify the Graduate Research Office of a change of thesis title during candidature. Where a change of thesis topic has implications for supervision arrangements, School affiliation, or will significantly diverge from the existing research plan, approval by the Dean of Graduate Research is required. Candidates must submit a written request to the Graduate Research Office explaining the circumstances leading to the change, together with a new research proposal endorsed by the Primary Supervisor and Head of School. The application must be accompanied by a statement from the Primary Supervisor advising whether: the candidate will complete within the maximum degree period; the revised completion plan is well-developed and realistic; and the change of topic has any funding and/or resourcing implications. 16 Higher Degree by Research Candidature Policy (January, 2015)

17 Where additional funding or resources are required as a result of a change in thesis topic, approval for the new thesis topic much be obtained from the Faculty/Institute. Supervisors of HDR Candidates who fall under the Autonomous Sanctions legislation will be required to complete and submit an Autonomous Sanctions Compliance Assessment with an application to change thesis topic Place of Candidature As specified in Clause 15 of Rule 4 the normal place of Candidature will be at one of the University s campuses. HDR Candidates may be located away from the campuses of the University for extended periods. For example, a student may be: Based at a campus of the University, but spend a number of extended periods of fieldwork away from the University. Normally up to a total of 18 months for a PhD or 12 months for a Masters by Research will be permitted during candidature; or Based at an institution/industry within commuting distance of a University campus for extended periods; or Based at an institution/industry beyond commuting distance from the University for extended periods and thus unable to attend the University for regular faceto-face supervision; or Based remotely from the University for personal reasons and unable to attend on-campus for regular supervision; or Jointly enrolled at the University and another institution under a conjoint/cotutelle agreement. The Dean of Graduate Research may allow a Candidate to undertake all or part of the Research Program away from the University, but only if they are satisfied that suitable arrangements can be made (including supervision of the Research Program and access to appropriate facilities) to enable the Candidate to fulfil the requirements of the Higher Degree. A Candidate for a Conjoint Doctoral Degree will be required to conduct research at a campus of the University and a campus of the partner university as specified in the Candidate Agreement. Candidates who are based at an institution or industry within commuting distance of the University are expected to attend on-campus supervision meetings and seminars and participate in the research culture of their school. Arrangements for interactions with other candidates should be developed to ensure that they have the support of an appropriate research culture. This may be achieved by periods spent on-campus or by other arrangements. International onshore Candidates who hold a student visa may not spend more than 25 per cent of the total course duration external from the University campus to which their course is CRICOS registered Extension of candidature There is an expectation that HDR Candidates complete the requirements of their Research Degree within the maximum degree periods stated in Clause 11 of Rule Higher Degree by Research Candidature Policy (January, 2015)

18 Issues that may impact on a HDR Candidate meeting the requirements of their degree within the maximum degree period should be addressed as soon as they arise and options for a Leave of Absence discussed. Candidates may apply for an extension to the maximum degree period where the thesis submission date is delayed by matters that are beyond the control of the candidate and are directly related to the conduct of their research. Extensions will not be granted on the basis of external or personal reasons (eg family / work / teaching commitments). Candidates may also apply for a candidature extension on the basis of a medical condition and must arrange for their medical practitioner to complete a medical proforma as per the Candidature Procedures The Dean of Graduate Research may, in exceptional circumstances, approve a period of extension beyond the expiry date of the original Maximum Degree Period in order to allow the Candidate to submit their Thesis within the extended period provided that: adequate supervision for the period of extension is available; and the Graduate Research Coordinator agrees to monitor the Candidate s progress under a Candidate Management Plan in accordance with section of this Policy. Extension to the Maximum Degree Period will not exceed 6 calendar months for Doctoral Candidates and 3 calendar months for Masters Candidates. An application for an extension to the maximum degree period must be made prior to the expiry of the maximum degree period, except where an extension is required to allow revision and resubmission of the Thesis for examination (as per the University Higher Degree by Research Thesis Preparation, Submission and Examinations Policy). Extensions to candidature are not granted automatically and an application must address the following criteria: the nature of the issue causing the delay; the extent to which the issue was outside the control of the candidate; the point of time at which the issue was identified and discussed with the supervision team; and the action taken to address the issues at the time they were first identified. The application must also include a completion plan with appropriate timelines and defined milestones up to submission of the thesis for examination; and a statement from the supervisory team indicating how much of the thesis/research project has been completed. Candidates applying for an extension are required to be aware that approval of the application will be subject to strict conditions and failure to adhere to these conditions (including submission of the thesis by the approved date) may result in termination of candidature. Multiple extensions to candidature will not normally be approved Withdrawal HDR candidates who wish to withdraw from a Higher Degree by Research should first notify the Primary Supervisor and the Graduate Research Coordinator in their 18 Higher Degree by Research Candidature Policy (January, 2015)

19 school. Candidates must also formally notify the University if they are discontinuing their program by completing the Change of Candidature or Scholarship form. Failure to lodge a the Change of Candidature or Scholarship form means candidature automatically continues and this enrolment time is included in any future enrolment tenure calculations for a Higher Degree by Research at this or another Australian University. For International candidates, if the Graduate Research Office is not officially notified at the time withdrawal occurs: fees will continue to be charged and candidates will be required to pay these fees; and candidates on a student visa may be in breach of the conditions of that visa. Scholarship holders considering withdrawal are advised that the Graduate Research Office Scholarship Officer is available to discuss their enrolment options according to the scholarship conditions of award. Scholarship holders must notify the Graduate Research Office in writing of their withdrawal from their Scholarship as well as completing the Change of Candidature or Scholarship form. Scholarship holders may be required to repay funds received after the withdrawal date, where the candidate failed to notify the Graduate Research Office of their intention to withdraw. The Graduate Research Office will confirm the withdrawal in writing to the candidate Termination of Candidature Should the candidate not fulfil the formal requirements of candidature, as determined by the School or the Dean of Graduate Research, within a reasonable time, the Head of School can recommend to the Dean of Graduate Research that candidature be terminated at per clause 17 in Rule Misconduct The University is committed to upholding its obligations under the Australian Code for the Responsible Conduct of Research (2007). The University is also committed to high standards of professional conduct in all activities, and holds its commitment and responsibilities to candidates as being of paramount importance. Likewise, it holds expectations about the responsibilities candidates have as they pursue their research training within the special environment the University offers Academic Misconduct The University Guide to Academic Integrity for Students details the expectations of scholarship and defines academic dishonesty. Breaches of academic integrity resulting in allegations of academic misconduct will be investigated according to the procedures in Ordinance No 9 Student Discipline, section Research Misconduct The definition of research misconduct and the process for submitting an allegation of research misconduct are detailed in the University s Managing Allegation of Research Misconduct Procedure. Where the preliminary assessment of an allegation of research misconduct involving: 19 Higher Degree by Research Candidature Policy (January, 2015)

20 an HDR Candidate determines that further investigation is warranted, the investigation will be conducted in accordance with Ordinance 9 Candidate Discipline. a supervisor (s) determines that further investigation is warranted, the investigation will be conducted in accordance with the University Staff Agreement Complaints, grievances and resolving difficulties General Where possible, candidates should work with their supervisor(s) to resolve difficulties as soon as they arise during their candidature. Where a Candidate has been unable to resolve a problem(s) with their supervisor(s), they should continue to seek to resolve the problem(s) by working with the following people in the order presented: 1. Graduate Research Coordinator 2. Head of School 3. Faculty Dean/Institute Director If a Candidate is still unable to resolve the problem(s) they can make a formal complaint under Ordinance 8 Student Complaints through the Dean of Graduate Research following the procedure outline on the student complaints website Prevention of Inappropriate Behaviour, Harassment and Discrimination The University is committed to the provision of a working, research and learning environment that is free from harassment and unlawful discrimination, and a culture where all members of the University community are treated with dignity, courtesy and respect. The University Behaviour Policy outlines these commitments and expectations. Contact Officers (CO s) are appointed and trained under this policy to provide a first point of contact for persons wishing to discuss how to have a complaint dealt with in accordance with University policy and procedures. For more information refer to the University Behaviour Policy and Procedure. 4 Responsibilities 4.1 The Dean of Graduate Research is responsible for: ensuring high quality administrative processes and appropriate candidate support are provided and monitored; ensuring candidates receive a high standard of supervision; the strategy and associated policies for the retention and successful completion of HDR candidates; and ensuring that the University maintains appropriate standards in relation to candidature matters (including admission, appropriate infrastructure, supervision and examination). 20 Higher Degree by Research Candidature Policy (January, 2015)