Higher Degrees Research

Policy and Procedure
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 ___________________________________________________________________11
3.4 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
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
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

Page 2 of 43
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 ______________________________________________28
23.4 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 _______________________40
2.3 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

Page 4 of 43
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
Academic Unit
ADR
APS
Artefact
Associate
Supervisor
ASEP
At Risk
Candidate
Candidate
Status
Candidature
CBT
CEP Online
Commencement
Date
Coordinating
Supervisor
Cotutelle
Degree
Credit Transfer
DBA
DDes
DIAC
Doctorate
Definition
A teaching Faculty, school, institute or centre of Swinburne University of
Technology from the Higher Education section.
Associate Dean of Faculty (Research)
Australian Psychological Society
created object taken as a whole
A member of the supervisory team who is registered at an associate level or who
is taking a subordinate role
Australian Standards for Editing Practice http://www.ipededitors.org/Resources_for_editors/Editing_standards
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 within
the prescribed timeframe.
a student currently enrolled in an HDR program, inclusive of provisional
candidates
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.
refers to the period of enrolment in an HDR that ceases upon submission of the
examinable outcome
computer-based test (TOEFL)
Australian Government AEI Country Education Profiles
the date of enrolment in the program of study
A senior supervisor working with a Principal Coordinating Supervisor in a cosupervisory capacity
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
recognition of prior formal study
Doctor of Business Administration
Doctor of Design
Department of Immigration and Citizenship
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

Page 5 of 43
Double-Badged
Degrees
DPsych Clinical
DPsych
Counselling
Dual Award
Degrees
Embargo
EFTSL
ESOS
Examinable
Outcome
Examination
Mode
Exegesis
Faculty
FTE
FRC
HDR
HDRC
Higher
Education
Sector
Home Faculty
iBT
IELTS
IP
Joint Degree (or
Partnered PhD)
LOA
Overseas
University
PhD
PhD by
Publication
in some cases of its capacity to advance professional practice).

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.
Doctor of Psychology (Clinical Psychology)
Doctor of Psychology (Counselling Psychology)
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
a restriction on public access to the examinable outcome (or part thereof)
Equivalent Full-time Study Load
Education Services for Overseas Students (legislative framework)
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.
the way in which the examination takes place, eg the written presentation of the
examinable outcome or a viva
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.
the Faculty of the University responsible for studies in particular discipline(s)
including Research Centres, Research Institutes, and Sarawak.
full-time equivalent
Faculty Research Committee
Higher Degree by Research
Higher Degree Research Committee
A sector comprising the Higher Education faculties across all campuses of the
University, including Sarawak.
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.
internet-Based Test (TOEFL)
International English Language Testing System
Intellectual Property
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.
Leave of Absence
is international with respect to the geographical location of the University campus
at which the candidate is enrolled excluding overseas campuses of Swinburne
Doctor of Philosophy
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 by
the applicant for a degree in any tertiary institution may be included in support of

Page 6 of 43
Plagiarism
PREQ
Principal
Coordinating
Supervisor
Prof Doc
Provisional
Candidates
RTS
SSAA
SR
Supervisory
Team
Thesis (or
dissertation)
TOEFL
UK NARIC
Unit of Study
University
Viva
the application for candidature and as part of the examinable outcome.

the presentation of the work, idea or creation of another person without
appropriate referencing, as though it is ones own.
Postgraduate Research Experience Questionnaire
a senior supervisor; responsible also for the administrative aspects of the
supervision of the candidate
Professional Doctorate
First year students (full time equivalent) enrolled under this policy whose
candidature has not yet been confirmed
Research Training Scheme
Swinburne Student Amenities Association
Swinburne Research
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).
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.
Test of English as a Foreign Language
The National Recognition Information Centre for the United Kingdom
a term covering subjects, courses and other terms used for components of course
work
Swinburne University of Technology
an oral examination or doctoral thesis defence
LEGISLATIVE CONTEXT
Name
ESOS Education Services for Overseas
Students
Location
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 by
Research.
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 the
research program for which the candidature application is made.

Page 8 of 43
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 Honours
degree that includes a significant research component in the fourth year, leading to an
Honours degree class 1 (average grade between 80-100) or class 2A (average grade
between 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

Page 9 of 43
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
the Swinburne 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.

Page 10 of 43
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 the Swinburne Research website. 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 have
the 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 offer
may 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

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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. On
occasion 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
5.2.2
5.2.3
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.
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.
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

Page 12 of 43
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

Page 13 of 43
months.
7.4.4
The part-time duration of candidature is double that of full-time (International onshore candidates cannot be enrolled on a part-time basis.)
7.4.5
The following tables indicate the duration of all programs including professional
doctorates.
Local and International Offshore Candidates

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
International Onshore Candidates (assuming no extension allowed)

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 been
obtained 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
7.7.2
7.7.3
7.7.4
7.7.5
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.
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.
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.
In order to apply for an extension of candidature, the process described on the
Swinburne Research website should be followed.
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 appropriate form 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.

Page 15 of 43
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.

Page 16 of 43
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 monitored
through 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 signed
withdrawal form that will be noted by the HDRC.

Page 17 of 43
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 examinable
outcome 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;

Page 18 of 43
5. provide the candidate with an opportunity to demonstrate written and oral

presentation skills appropriate to PhD study;
6. publicly acknowledge a major milestone in the project and inform others
about 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 at
another 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 the
purposes 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 faculty
guidelines;
b) make an oral presentation of the project (20 to 30 minutes) in a faculty
graduate 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 for
confirmation.
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 and
equipment requirements;
d) a summary of progress to date including preliminary data; resources
developed; 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 on
submission;
g) a reference list;
h) a list of publications produced or presentations made during provisional
candidature, 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 candidate
in full by the supervisory team (and, if necessary, the confirmation panel). A copy

Page 19 of 43
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, such
as 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 procedures
HDR 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
What has been achieved and

what needs to be achieved?
Written and oral

presentation to a senior
academic audience.
Question and answer
session about the topic
and about support
arrangements.
At or prior to the end of the

th
24 month of candidature
(FTE) for Doctoral
candidates.
th
(FTE) for Masters
candidates.
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?
Final Review prior to

Submission
Is the scholarly work ready

for examination?

th
(FTE) for Doctoral
candidates.
Will the work be ready for

submission in 6 months
time?

th
(FTE) for Masters
candidates.
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.
Page 20 of 43
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 be

developed 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 procedures At Risk must 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;

Page 21 of 43
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

Page 22 of 43
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 industrial

partner, 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, such
as 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).

Page 23 of 43
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 candidates needs 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.

Page 24 of 43
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/higherdegrees/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

Page 25 of 43
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 capped
maximum 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
the Conduct 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

Page 26 of 43
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 in
accordance 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 conduct
the 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 must
occur 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 copy
of 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

Page 28 of 43
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 and
approved 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), the

presentation 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
candidature of the form in which the examinable outcome is to be presented as well
as the examination mode.
23.6.3
The examinable outcome submitted for examination should be written in English. In

exceptional circumstances a candidate may seek approval from the HDRC at the
time of candidature application to submit the examinable outcome in a language
other than English where this is necessitated by the nature of the research program.
In this case, the examinable outcome must include a summary in English of no
more than 3 000 words.
23.6.4
The format of the examinable outcome should be consistent with Swinburne

Research guidelines in addition to the requirements listed in the Supporting
Documentation section of this policy.
23.6.5
The examinable outcome may take the form of an artefact or creative work plus
exegesis. The artefact or creative work may take the form of a product,
performance, exhibition, writing (poetry, fiction, script or other written literary forms),
design, film, video, multimedia, CD ROM or other New Media technologies and
modes of presentation. The artefact or creative work must be comprehensively
documented.

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23.7 Editing
It is expected that research supervisors will provide editorial advice covered in Standards C,
D and E of ASEP:
Standard C: Substance and Structure
Standard D: Language and Illustrations
Standard E: Completeness and Consistency
Candidates may use a professional editor or proof reader in preparation for submission but
must discuss this with their Principal Coordinating Supervisor (and where relevant the
Coordinating Supervisor) before they commence work. It is the responsibility of the Principal
Coordinating Supervisor to ensure that the candidate has not accepted advice from a
professional editor or proof reader that changes the intellectual content of the examinable
outcome.
Professional editorial intervention should be restricted to:
Standard D
Standard E
http://www.iped-editors.org/Editing_standards.aspx
Professional editing and proofreading must be acknowledged in the examinable outcome.
23.8 Submission for Examination
The examinable outcome, prepared in accordance with the Universitys requirements as
detailed on the SR website, is submitted to SR by the candidate (or nominee).
The submitted works must be accompanied by the submission form, signed by the Principal
Coordinating Supervisor and the respective ADR.
23.9 Cost of Production of Examinable/Examined Outcome
Costs involved in preparation of the examinable/examined outcome are the responsibility of
the candidate. Scholarship holders should consult the individual scholarship conditions to
ascertain if any allowance is available.
23.10 Cost of Examination
Costs involved in the examination process are the responsibility of the relevant Faculty.
23.11 Guidelines for Examiners
Swinburne Research will provide examiners with the relevant assessment guidelines.
23.12 Duration of Examination
The following time frames apply to the examination process provided that examiners were
nominated at least 3 months in advance. Time frames serve as a guide only and do not
apply to the Christmas shut down period, or any other designated shut down periods.
From submission of examinable outcome to dispatch to examiners
1 week
From receipt by examiners to return of examination reports
6 weeks

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From receipt of examiners reports to review by the HDRC
2 weeks
From consideration of examiners reports by the HDRC to provision of such

reports to the Principal Coordinating Supervisor, except where further
examination is required
2 working days
From approval for award by HDRC to notification of completion to the

candidate, supervisory team and Faculty
2 working days
From receipt of final submission to release of official result
1 week
23.13 Examination Outcomes

The examiners are asked to make recommendations to the HDRC as to whether or not the
work is to be passed.
Recommendations:
1.
Pass without further examination or amendment;
2.
Pass with minor amendments done to the satisfaction of the Principal

Coordinating Supervisor;
3.
Pass with major amendments done to the satisfaction of the Principal

Coordinating Supervisor or of the examiner (as chosen by the examiner);
4.
Not passed; work to be revised and resubmitted for examination within 12 months;
5.
Fail
In the case of Doctoral examination on rare occasions, the examinable outcome may be
reconsidered in line with the guidelines for a Masters by Research in order to determine
whether or not the following recommendation applies:
6.
Pass at the level of a Masters by Research (provided that the panel of examiners
agrees with this recommendation).
23.14 Conflicting Outcomes

23.14.1
Where there is a major disparity in recommendations, the opinion of the third

examiner will be sought.
23.14.2
In the case of lesser disparity, the HDRC will determine the outcome having
considered the detailed comments and recommendations of the examiners.
23.15 Notification of Outcome

23.15.1
Once considered by the HDRC, the outcome of the examination process and the
recommendations of the examiners are communicated to the Principal
Coordinating Supervisor within two business days.
23.15.2
In the case of recommendation 2 or 3, the Principal Coordinating Supervisor and,

where relevant, the Coordinating Supervisor will work with the candidate to
complete any required amendments and will advise the HDRC when the final
examined outcome is ready.
23.15.3
In the case of recommendation 4, the Principal Coordinating Supervisor and,

where relevant, the Coordinating Supervisor will guide the candidate to rewrite the
examinable outcome for submission for re-examination. The candidate must
provide a list showing how the examiners recommendations have been
incorporated, which has been approved by the Principal Coordinating Supervisor.

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On the rare occasion where such recommendations are disputed, justification for
decisions made must be submitted to HDRC for approval.
23.15.4
In the case of recommendation 2 (and on occasion recommendation 3), the

HDRC will consider the Principal Coordinating Supervisors recommendation and,
if satisfied, will approve the award of the degree.
23.16 Grading
The Universitys research degrees are not graded. The final result is classified as a pass or a
fail.
23.17 Time Frame for Amendments Required by the Examination Process
Recommendation 2
within 3 months of the notification of the classification
Recommendation 3
Recommendation 4
Failure to submit the amended examinable outcome within the timelines specified may result
in termination of candidature unless an extension of time has been sought from the HDRC
prior to the deadline.
23.18 Examinations in a Language Other than English
In exceptional circumstances, where prior approval has been granted to submit the
examinable outcome in a nominated language other than English, a Faculty might seek
approval from the HDRC for an examiners report to be presented in that language. In these
circumstances the Faculty must provide a justification for its request and submit it to the
HDRC for approval.
In approving such a request, the HDRC will consider whether or not the examination report
will provide greater depth and quality if it is submitted in a language other than English.
If approved, Swinburne Research will arrange for the report to be translated into English
before it is considered by the HDRC.
All costs associated with this process will be defrayed by the Faculty in which the candidate is
enrolled.
23.19 Confidentiality and Embargos on the Examinable Outcome
Normally public access to the examinable outcome occurs once the degree is awarded.
However, on occasion there are circumstances that warrant restrictions on access.
23.19.1 Confidentiality
In instances where the research program has been carried out in, or in
conjunction with, an external organisation, the candidate may be granted access
(by that organisation) to restricted information, which the organisation and/or the
candidate does not wish to be freely disclosed. In such cases, appropriate
confidentiality agreements should be signed before the candidates program
commences. Such agreements may pertain to part or the whole of an
examinable/examined outcome to be kept confidential for a specified period of
time, and may take the form of an embargo. Any candidate or supervisor may
request the HDRC to make arrangements to protect the confidential information in
the examinable outcome at any time prior to its submission for examination.

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Examiners may also be required by the HDRC to be bound by confidentiality

agreements.
23.19.2 Embargos
Where the nature of the research brings unanticipated issues related to
confidentiality that may require an embargo, the candidate must immediately seek
authorisation for an embargo from the HDRC. The HDRC may approve a full or
partial embargo any time prior to the submission of the examinable outcome
pursuant to the confidentiality requirements.
Upon submission of the final examinable outcome, the candidate must sign the
appropriate access form. Such forms designate the level of access that the public
will have to the examined outcome.
On rare occasions an extension to an embargo may be sought by a formal written
request to the HDRC.
23.20 Final Submission
The final versions of the examinable outcome (theses should be hard bound) and an
electronic copy (in Microsoft Word or PDF) must be submitted to Swinburne Research. Refer
to the format of examinable outcome document. (Related Materials)
23.21 Award of Degree
Once the examined outcome is classified as passed by the HDRC and all requirements for
final submission have been met, Swinburne Research will advise the appropriate areas within
the University that the candidate may attend the graduation ceremony. The final archival copy
and the electronic copy are lodged with the University library.
23.22 Use of Doctoral Title
Doctoral graduands may use the doctoral title (Doctor, Dr.) at any time after the date of the
meeting at which the HDRC classified the degree as Passed and approved the award of the
degree.
24. CONDUCT OF RESEARCH
24.1 Code of Conduct
HDR candidates and supervisors are expected to adhere to the principles as detailed in the
Universitys Policy on the Conduct of Research.
http://policies.swinburne.edu.au/ppdonline/showdoc.aspx?recnum=POL/2008/79
The Code details principles and practices to encourage responsible research conduct in
areas such as management of research data and primary materials, supervision, publication
and dissemination of research findings, authorship, peer review, conflicts of interest and
collaborative research across institutions.
24.2 Plagiarism
24.2.1
Plagiarism is not acceptable under any circumstances The use of another persons
work or ideas in any form must always be acknowledged. Refer to the Universitys
plagiarism booklet.

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24.2.2
Faculties or Swinburne Research may conduct random audits of examinable

outcomes to test for plagiarism using appropriate software and/or manual
processes of detection.
24.3 Ethics and Safety Clearance

24.3.1
Established guidelines issued by regulatory bodies for research involving humans,

animals or the environment are to be closely followed. Where research procedures
require approval by a human research ethics committee, an animal ethics
committee, a bio-safety of other validly constituted regulatory committee, research
must not proceed without such approval. Where approval is granted, the research
must be conducted in line with that approval.
24.3.2
Candidates who do not conform to the requirements at 24.3.1 may be in breach of

the Conduct of Research Policy and accordingly subject to applicable investigative
and/or disciplinary procedures.
24.3.3
Projects involving laboratory use are subject to approval by the relevant Academic
Unit Safety Committee.
24.4 Intellectual Property

Candidates are subject to University policy regarding ownership and treatment of intellectual
property. Intellectual property lies with the candidate unless an agreement is signed that
allocates the IP to others/ another. Candidates in receipt of funding to conduct their research
need to be aware of any IP implications as a result of that funding, and may need to complete
a Deed of Assignment. The Universitys Intellectual Property policy applies.
25. DOUBLE-BADGED, DUAL AWARD AND COTUTELLE DEGREES
25.1
The University may offer Double-badged, Dual Award and Cotutelle degrees providing the
processes and standards for the HDR at the partner institution are at least equivalent to those
of the University. Supervision will be jointly provided and the requirements of the procedures
of both institutions will be met.
25.2
A formal agreement between the partner institution and Swinburne University is required.
Agreement must be reached between Swinburne University and the partner institution on
issues such as collaboration, intellectual property, progress review, language of thesis and
abstracts, ethics clearances, timeframes, supervision, residency at each institution, proposed
form of examination, arrangements for fees, details of scholarship/stipend and travel support
for candidate and funding arrangements for travel for supervisors/examiners.
25.3
Candidates enrolled under such an agreement who satisfy the requirements of both
institutions may be awarded a degree with a testamur bearing the Seal of both partner
institutions or may be awarded degrees from both partner institutions with each testamur
bearing a statement that the degree is awarded under a partnership arrangement with the
partner institution according to the terms of the agreement.
26. COMPLAINTS AND DISPUTE RESOLUTION

26.1
Candidates have the right to have complaints heard about any aspect of their experience at
the University, including complaints about a member of their supervisory team.
26.2
The first approach to resolving an issue should be made locally to the appropriate area or
person. Swinburne Research staff can advise on the most appropriate channel for local

Page 34 of 43
resolution.
26.3
Under the Australian Code for the Responsible Conduct of Research, the University has
appointed Research Integrity Advisors who provide confidential advice to staff and
candidates about research conduct issues. Staff or candidates who have concerns about
research conduct issues may contact a Research Integrity Advisor for advice.
http://www.research.swinburne.edu.au/researchers/ethics/
26.4
If the candidate is not satisfied with the outcome of the local resolution process, s/he may
make a formal complaint and have the complaint reviewed in accordance with the
Complaints, Reviews, Appeals and Feedback Policy.
26.5
Any complaints in relation to behaviour covered under the Code of Conduct will be dealt with
through the Research Misconduct Policy in conjunction with the Student General Misconduct
Regulations 2012 and the Student Academic Misconduct Regulations 2012.
27. TERMINATION
27.1
Continuing candidature is conditional upon satisfactory progress and adherence to

Swinburne and relevant government regulations and laws.
27.2
The University may terminate candidature on any of the following grounds:

a)
a finding of research misconduct as per the University Policy on the Conduct of

Research;
b)
a breach of academic integrity in the form of falsification of data or plagiarism;
c)
a failure to adhere to the principles of ethical conduct of research;

d)
a breach of the Student General Misconduct Regulations 2012;
e)
a failure to meet the requirements of the Confirmation of Candidature process;
f)
an HDR candidate has been deemed to be continuing to make unsatisfactory

progress after the candidate has been first deemed at risk and the at risk
procedure has been subsequently implemented. That is, the candidate can be
recommended for termination if their progress is again found to be unsatisfactory
following the implementation of the 'at risk' procedure;
g)
breaches of other University regulations or government laws and regulations such

as Occupational Health and Safety and anti-discrimination;
Occupational Health and Safety
Anti Discrimination
27.3
h)
reaching the maximum duration of candidature without submission and without an

extension amounts to de facto termination and re-enrolment or leave will not be
permitted;
i)
outstanding debt (for two consecutive months) in the form of university fees.
During the termination process, the candidate must have access to relevant information
about process, support and decisions made. Candidates may attend relevant committee
meetings (such as the relevant FRC) within the termination process.

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28. REVIEW AND APPEALS

Where a candidate wishes to apply for a review of the outcome of a termination or degree
failure decision, the procedures are as set out in the Complaints, Reviews, Appeals and
Feedback Policy and in accordance with the Review and Appeals Regulations 2012.
29. QUALITY MANAGEMENT OF HDRS
The University monitors its performance in supporting candidates through measures such as:
a)
the Postgraduate Research Experience Questionnaire (PREQ);
b)
enrolment tracking for the Commonwealth;
c)
the Swinburne Research exit survey;
d)
Swinburne Research evaluations of research training and supervisor workshops;
e)
progress reviews.
30. CHANGE IN POLICY

30.1
These policies and procedures may be amended from time to time by Council or delegated
authority on the advice of Academic Senate acting on the recommendation of the HDRC.
30.2
Where major amendments are made, current candidates will be governed by the new policy
and procedures unless a written case is made to, and approved by, the HDRC.
30.3
This does not apply to minor changes in wording to reflect changes to University structure or
nomenclature.

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SECTION 3 - PROCEDURES
PROCEDURES
Procedure steps
1. AT RISK PROCEDURE
Responsibility
1.1 At Risk
1.1.1
1.1.2
1.1.3
Purpose: To outline the procedures involved in the management

of candidates enrolled in a higher degree by research program at
Swinburne University of Technology who are considered to be At
Risk of failing to achieve satisfactory completion. It applies to all
candidates enrolled in higher degrees by research programs
within the Higher Education Sector of the University.
The aim of this section is to provide a means of identifying
candidates At Risk and to assist them in the completion of their
higher degree by research. In cases where this is not possible,
appropriate alternative measures may be prescribed.
The University acknowledges the mutual responsibility of both the
University and the candidate in relation to the policy provisions
outlined in this section. This policy and procedure includes strict
timelines in relation to the various stages of assessing and/or
reviewing a candidates academic progress. It is expected that
candidates will make themselves familiar with these timelines.
The failure of a candidate to familiarise her/ himself with this
policy and procedure and /or failure to respond to At Risk
correspondence in accordance with the timelines will not be
grounds for appeal.
Supervisory
Team
1.2 Reasons for At Risk Status

1.2.1
1.2.2
1.2.3
In order to be placed At Risk by the supervisory team, a HDR

candidate must have been deemed to be making unsatisfactory
progress on any progress review (major or minor) or progress
report including any supplementary progress report. This includes
the current review or report, thus a candidate may be deemed to
be making unsatisfactory academic progress and be placed At
Risk at the same review or within the same progress report.
When a candidate is deemed to be At Risk, the review cycle will
be analysed and a new timeline for progress (with set hurdles)
planned for the candidate.
An ADR may also place a candidate At Risk for failure to
complete any review of progress in the designated time period or,
in consultation with the Principal Coordinating Supervisor (and
where relevant the Coordinating Supervisor), if there is evidence
of unsatisfactory progress.
Failure to complete a progress report or review may lead to a
candidate being placed At Risk.
1.3 Support for Candidate

1.3.1 Candidates have a right to have a support person present at any
time during the process. The support person can be a staff member
of SR, an enrolled candidate of the University, an International
support officer or a staff member of the Swinburne Student

Page 37 of 43
Amenities Association (SSAA).

1.3.2 Candidates should also be encouraged to make use of specialist
assistance available to candidates from various areas of Swinburne
University including counselling services. Referrals should be
documented.
1.4 Communication and Documentation
1.4.1 At all points of the process, the candidate will be kept informed.
Copies of all correspondence relating to the At risk process will be
filed in the candidates official file.
1.4.2 Candidates are responsible for updating their address and
providing current contact details to the home Faculty and the SR
particularly for any period of time that they will be away from that
address (including returning to their home country). Failure to
provide a current contact address will not be an acceptable reason
for failing to respond as required under these procedures.
Faculty, SR
Candidate
1.5 At Risk Process

1.5.1 Within 10 working days of the progress review outcome, a
candidate whose candidature is deemed to be At Risk will be sent
a letter and an e-mail to the candidates Swinburne e-mail address
from their home Faculty informing them of their At Risk status and
advising them to discuss their status with their Principal
Coordinating Supervisor (and where relevant the Coordinating
Supervisor).
1.5.2 In the case of international candidates, the letter and e-mail to the
candidates Swinburne e-mail address from the home Faculty will
also advise the candidate to contact Swinburne International.
1.5.3 At the same time as the candidate is informed, the HDRC must be
notified by the Faculty of the candidature being placed At Risk
and of any steps taken toward resolution.
1.5.4 A meeting of the candidate, the supervisory team and the Faculty
ADR must be arranged to take place within 20 working days of the
advice to the candidate of their At Risk status.
1.5.5 If the candidate was placed At Risk for failure to complete a major
progress review or progress report and the candidate subsequently
completes the review or report within 20 working days of the advice
of At Risk status, and the review or report is deemed to be
satisfactory, the At Risk status is revoked and the candidature
continues.
1.5.6 If the candidate was placed At Risk because of unsatisfactory
progress, one of the outcomes of the meeting should be the
development of a documented progress plan for a period of time
determined by the supervisory team. The plan may include a
timeline and tasks which must be completed.
1.5.7 At the end of the period the candidate, the supervisory team and
the Faculty ADR must meet to consider whether or not the
requirements in the progress plan have been met. A progress
review or report meeting may satisfy this requirement.
1.5.8 If the requirements are met, the candidature is deemed to be no
longer at risk and continues normally.
1.5.9 If the requirements have not been met and progress remains

Faculty
Faculty
Faculty
Faculty
Faculty
Faculty ADR,
Supervisory
Team,
Candidate
Supervisory
Team, Faculty
ADR and
Candidate
Page 38 of 43
unsatisfactory, the recommendation may be made to the relevant

FRC that candidature be terminated.
1.5.10 If termination is recommended, the FRC meets to consider whether
or not to support the recommendation. The candidate should be
asked to attend the meeting and may be asked to provide
information to assist the FRC to decide on the outcome.
1.5.11 The FRC must provide a report to the HDRC indicating support or
otherwise for termination of candidature.
1.5.12 Where the FRC does not support the recommendation, reasons
must be stated and an agreed progress plan developed for the next
three months and the candidate and the HDRC notified in writing.
1.5.13 Where the FRC supports the recommendation, the endorsed
recommendation is forwarded to the HDRC for consideration. The
candidate is notified in writing that the recommendation is being
endorsed and forwarded to the HDRC.
2. TERMINATION OF CANDIDATURE FOR UNSATISFACTORY PROGRESS
The process whereby candidature may be terminated for unsatisfactory
progress is sometimes referred to as the Show Cause process. The
termination process must be managed as a constructive process with the
candidate as its key focus.
FRC and Faculty
FRC
FRC, Faculty and
Candidate
FRC and Faculty
2.1 Termination Process

2.1.1 In order to be recommended for termination of candidature by the
supervisory team, a HDR candidate must have been deemed to be
continuing to make unsatisfactory progress after the candidate has
been first deemed at risk and the at risk procedure has been
subsequently implemented. That is, the candidate can be
recommended for termination if their progress is again found to be
unsatisfactory following the implementation of the 'at risk'
procedure.
2.1.2 Where termination of candidature has been recommended, the
HDRC will meet to consider the recommendation.
2.1.3 The candidate must be informed in writing of the recommendation
to terminate candidature and of the opportunity to submit a written
application to the Chair of the HDRC stating why candidature
should not be terminated.
2.1.4 A written application must reach the Chair of the HDRC within 10
working days of the date of the letter advising of the
recommendation of termination of candidature.
2.1.5 The written application should include any issues the candidate
believes may be relevant and describe how these circumstances
have affected their studies/progress.
2.1.6 If the candidate is unable to meet the deadline due to
circumstances beyond his/her control s/he must contact the
Secretary of the HDRC within 5 working days of the date of the
letter to explain why s/he cannot meet the deadline and when the
application will be delivered.
2.1.7 The candidate will be invited to participate in the HDRC meeting at
which the recommendation to terminate candidature will be
considered. No candidate will be excluded from the program
without first being granted the opportunity of a hearing before the
HDRC. If the candidate agrees to participate in a meeting but does

HDRC
SR
Candidate
Candidate
Candidate
SR
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not do so, the candidate may be excluded without a further hearing

being arranged.
2.1.8 If the candidate is asked to participate but does not respond within
the given timeframe, the candidate may be excluded without being
heard.
2.1.9 The HDRC meeting will normally be held within 10 working days of
the date of receipt of the candidate's written application to the Chair
of the HDRC.
2.1.10 The normal HDRC rules regarding the quorum and support for the
committee will apply.
2.1.11 Where the Chair of the FRC of the candidates home Faculty is
also a member of the HDRC s/he may be called upon by the HDRC
to provide advice or evidence only and will then absent
himself/herself from further deliberations.
2.1.12 Any other member of the HDRC may declare a conflict of interest
and may be required to leave the meeting. An alternate from the
members home Faculty should be nominated.
2.1.13 The candidate may have an advocate or support person present
who is not a member of the HDRC and is not a legal practitioner.
2.1.14 The HDRC may seek additional information from appropriate
academic staff regarding the candidates academic work, or where
appropriate, a Student Counsellor, before a decision is made, the
person providing such information may be requested to attend the
meeting.
HDRC and SR
HDRC
2.2 Outcome of Meeting to Consider Termination of Candidature

2.2.1 The decision of the HDRC will be made by majority vote with the
casting vote held by the Chair if required.
2.2.2 If the HDRC does not support the recommendation for termination
of candidature, reasons must be stated and an agreed progress
plan must be developed for the next three months. The FRC must
be notified and must monitor progress over the next three months
and report to the HDRC. The candidate must be notified in writing.
2.2.3 If the HDRC supports the recommendation, candidature will be
terminated. The candidate will be notified of the decision in writing
including reasons for the decision. The written notification will also
advise the candidate of the right to apply for review of the decision
in accordance with the Review and Appeals Regulations 2012.
2.2.4 In the case of international candidates studying on a student visa,
the written notification must include advice of their right of review,
however if they do not access the review and appeals process
within 21 working days, withdraw from the process, or if any appeal
is unsuccessful, the candidate will be reported to the Department of
Immigration and Citizenship for failure to maintain satisfactory
progress.
2.2.5 The HDRC may decide on a different outcome from either of the
above options. The FRC and the candidate will be notified of the
outcome with clearly expressed written reasons for the decision.
2.2.6 If candidature is terminated and the candidate has not lodged an
application for review of the decision within the allowed timeframe,
SR will withdraw the candidates enrolment.
2.2.7 If candidature is not terminated, SR will take any other action as

HDRC
HDRC, SR and
Candidate
HDRC and SR
SR
HDRC and SR
SR
SR
Page 40 of 43
appropriate depending on the recommendation of the HDRC.

2.3 International Students
SR
2.3.1 Swinburne Research will notify Swinburne International of all cases

where international candidates have their candidature terminated
as it is a requirement of the ESOS Act that these are reported to
the Department of Immigration and Citizenship.
2.3.2 Such notification must not be made until after the expiry of the
period during which a candidate may apply for a review of the
decision. .
2.3.3 Unsatisfactory progress for the purposes of reporting candidates
to the Department of Immigration and Citizenship under the ESOS
Act means a candidate has been excluded from a program in the
University. In the case of research candidates this means that their
candidature has been terminated for unsatisfactory academic
progress.
3. HDR DISPUTE RESOLUTION
3.1 Initial Steps in Dispute Resolution
Candidate
Where a candidate has a concern, s/he must initially attempt local
resolution and raise the concern with the relevant University staff directly.
See procedures in the Local Resolution chapter of the Complaints,
Reviews, Appeals and Feedback Policy. If this fails to resolve the issue,
the candidate may lodge a complaint.
3.2 Complaint handling

The candidate may lodge a complaint, including all relevant details and an
outline of the steps taken so far to resolve the issue.
The University is to manage the candidates complaint as set out in the
Complaints, Reviews, Appeals and Feedback Policy.
Candidate
University
Registrar
3.3 Review and Appeals

Should the candidate wish to take the complaint further, or be eligible for a
review in the first instance, the candidate can apply for a review of a
decision.
The University is to manage HDR reviews and appeals as set out in the
Complaints, Review, Appeals and Feedback Policy, and in accordance
with the Review and Appeals Regulations 2012.
Candidate
Registrar,
University
Secretary
SUPPORTING DOCUMENTATION
Forms and Records Management
Form
Retention Time
Retention
Location
Online complaints form

Application For Review form

Page 41 of 43
*University Disposal Schedule is available at

http://www.swinburne.edu.au/corporate/registrar/rms.htm#disposal
References
Boyer, E.L. (1990). Scholarship reconsidered: Priorities of the professoriate. John Wiley & Sons:
New York.
Related Documents, Policies, Material

Name
Location
Document
Type
(http://www.swin.edu.au/research/sgrs/statement_
of_supervisory_practice.pdf )
Guideline
http://www.swin.edu.au/research/sgrs/guidelines_f
or_PhD_examination.pdf
http://www.swin.edu.au/research/sgrs/format_of_e
xaminable_outcome.pdf
http://www.swin.edu.au/research/sgrs/graduate_ca
pabilities.pdf
http://www.swin.edu.au/research/sgrs/guidelins_mi
nimum_resources.pdf
Guideline
http://policies.swinburne.edu.au/ppdonline/showd
oc.aspx?recnum=POL/2008/79
Policy
http://policies.swinburne.edu.au/showdoc.aspx?re
cnum=POL/2012/13
Regulations
Regulations
Related Documents
Statement of Supervisory
Practice: Swinburne
University
Guidelines for Examiners
Format of Examinable
Outcome
Graduate Capabilities
Guidelines for Minimum
Resources
Guideline
Guideline
Guideline
(under
development)
Related Policies
Policy on the Conduct of
Research
Swinburne Human Research
Ethical Conduct
Intellectual Property Policy
Antidiscrimination Policy and
Procedures
Occupational Health and
Safety Policy
Conflict of Interest
Complaints, Reviews,
Appeals and Feedback
Policy
Review and Appeals
Regulations 2012
Student Academic
Misconduct Regulations
2012
Student General Misconduct
Regulations 2012
Policy
Policy
Policy
Policy
Policy
Policy
Regulations
Related Materials
Swinburne Research website
http://www.swinburne.edu.au/research/welcome.h
tm

Page 42 of 43
SECTION 4 - GOVERNANCE
RESPONSIBILITY
Policy Owner
Director, Graduate Studies, Swinburne Research
VERSION CONTROL AND CHANGE HISTORY

Version
Number
11
Approval Date
Approved by
Amendment
20 March 2013
Amendments as detailed at the Academic Senate

meeting 20 March 2013
10
5 September 2012
30 August 2012
Academic
Senate
Academic
Senate
Council
23 November 2011
18 May 2011
8 December 2010
Academic
Board
Amendments to criteria for registration as a

research supervisor and other supervisor related
matters.
11 August 2010
Academic
Board
Amendments regarding examinations and

termination of candidature.
4
3
30 September
2009
8 July 2009
Academic
Board Executive
Academic
Board
8 April 2009
14 November 2007
Academic
Board
Academic
Board
Addition to Policy items 2.2, 2.4.1, 2.4.2, 2.4.3 and

2.5
New requirements that restate the IELTS and
TOEFL minimums and add the English for
Academic Purposes as an alternative
requirement.
Minor addition to Policy item 18.3.1
Academic
Senate
Academic
Senate
Amendments as detailed at the Academic Senate

meeting 5 September 2012
Amendments to align this policy with the
Complaints, Reviews, Appeals and Feedback
framework and relevant regulations.
Full review with changes
Amendments to policy items 2.2, 2.4.1, 2.4.2,
2.4.3 & 2.5.
The policies superseded by this document

include:
- Leave of Absence Higher Degree by Research
Students
- Annual Progress Reporting / Re-enrolment
Higher Degree by Research
- Examination of Thesis
- Maximum Allowed Duration Higher Degree by
Research
- Policy for the Degree of Master by Research and
Thesis
- Degree of Doctor of Philosophy

Page 43 of 43

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Policy and Procedure

Higher Degrees by Research

SECTION 1 - INTRODUCTION _________________________________________________________5

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7. DURATION OF CANDIDATURE _________________________________________________13

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22. PUBLICATION PRIOR TO SUBMISSION _________________________________________27

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1.4 Communication and Documentation ___________________________________________38

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

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

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a four year degree; or

a three year degree and a Masters by Research; or

a three year degree and an Honours year; or

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

a three year degree and a postgraduate diploma in Psychology.

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other appropriate work experience; and have

In exceptional cases, FRCs may consider applications from prospective candidates

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2.7 Police Check for Placements

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

The potential candidate must complete an application for candidature for

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

3.1 Contact with Potential Supervisors

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

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

4.3 Multiple Enrolments

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

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

Candidature ends on the date:

that the examinable outcome is submitted for examination; or

that the maximum period of candidature is reached; or

7.3 Candidate Status

Candidate status commences on the date of enrolment and ceases:

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

once the examinable outcome is submitted for examination; or

during periods of approved leave of absence; or

when the maximum period of candidature is reached; or

access to facilities including email, library and internet access.

International onshore candidates on student visas are expected to complete within

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Local and International Offshore Candidates

International Onshore Candidates (assuming no extension allowed)

7.5 Exceeding Period of Funded Candidature

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

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

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7.7 Extension of Candidature

Applications for extension of candidature must be endorsed by the Principal

7.8 Time Commitments

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

the candidate is an international onshore student;

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

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

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parental responsibilities including pregnancy, child care and adoption;