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Queensland University of Technology Doctor of Philosophy Regulations (IF49)

(details of individual PhD programs can be obtained by contacting the relevant faculty)

Contents

Introduction

1. General Conditions

2. Definitions

3. Admission to Candidature

4. Application Procedure and Commencement

5. Enrolment

6. Planned Research Program

7. Transfer of Candidature from other Research Degrees

8. Place and Conditions of Work

9. Period of Time for Completion of Planned Research Program

10. Supervision

11. Reporting Procedures

12. Confirmation of Candidature

13. Thesis Guidelines

14. Presentation of PhD Theses by Published Papers

15. Presentation of PhD Theses by Creative Works

16. Examinations

17. Examiners in Agreement

18. Examiners Not In Agreement

19. Re-examination

20. Appeals

Modification History

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Introduction

The main purpose of research graduate study is to encourage independence and originality of thought in the quest for knowledge. The Doctor of Philosophy degree is awarded in recognition of a student's erudition in a broad field of learning and for notable accomplishment in that field through an original and substantial contribution to knowledge. The candidate's research must reveal high critical ability and powers of imagination and synthesis, and may be in the form of new knowledge, or of significant and original adaptation, application and interpretation of existing knowledge.

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1. General Conditions

1.1 The Council of the Queensland University of Technology was established in 1989 under the Queensland University of Technology Act.

1.2 This document sets out the Regulations governing the award of the degree of Doctor of Philosophy (PhD) at the Queensland University of Technology (QUT).

1.3 The Council's power to approve arrangements for the registration and examination of candidates for the degree of PhD at QUT is exercised through a Research Degrees Committee, which shall be a subcommittee of the University Research and Innovation Committee. In exercising this power, the Research Degrees Committee shall be advised by faculty academic boards, executive deans of faculties and heads of schools as appropriate.

1.4 The PhD will be awarded subject to the Research Degrees Committee receiving:

• a certificate of satisfactory completion of the candidate's approved course of study signed by the Principal Supervisor, Head of School and endorsed by the faculty;
• a declaration signed by the candidate that she/he has not been a candidate for another tertiary award during the tenure of their PhD candidature without the permission of the Research Degrees Committee;
• a declaration signed by the candidate stating original authorship of the thesis;
• an application for the conferral of the degree, signed by the Principal Supervisor, Director of Centre, Head of School as appropriate stating that the candidate has satisfactorily completed the examination process including completing any revisions or re-examination required by the external examiners; and
• at least one final copy of the thesis in the prescribed format.

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2. Definitions

2.1 Candidate means any person admitted to the planned program of research leading to the degree of PhD.

2.2 Candidature means the period of study towards the degree of PhD being the period from the date of commencement as advised by the Research Students Centre until the thesis is submitted for examination, after which time the candidate holds the status of 'Under Examination' or until the candidature is terminated or the candidate withdraws.

2.3 Confirmed candidature means the period of study towards the degree of PhD from the date of successful completion of Confirmation of Candidature as approved by Research Degrees Committee to the approval of the award of the degree of PhD by the University Academic Board.

2.4 Collaborative research group means the group of researchers directly involved with the candidate's research project or a larger research project of which the candidate's study forms a part. This does not include other researchers from any collaborating organisation who do not have input into the specific research project.

2.5 The degree of Doctor of Philosophy (PhD) at QUT signifies that the holder has undertaken a substantial piece of original research which has been conducted and reported under proper academic supervision and in a research environment for a prescribed period. The PhD's contribution to knowledge rests on the originality of the approach and/or interpretation of findings and, in some cases, the discovery of new knowledge. The award of a PhD demonstrates that the candidate has the ability to communicate research findings effectively in the professional arena and in an international context.

2.6 Examination means the formal testing of the candidate's thesis to critically evaluate whether the conditions for the award of the degree of PhD have been met.

2.7 Examination Committee means the committee of external examiners appointed to undertake examination of the candidate's thesis.

2.8 External candidate means a candidate who will undertake their study away from QUT campuses, that is, overseas, interstate, remote from Brisbane or at a place of professional employment or another research institution in Brisbane (for example Queensland Institute of Medical Research).

2.9 Faculty means the relevant faculty of QUT.

2.10 Faculty Committee means the duly constituted committee responsible for the management and oversight of postgraduate candidates within the faculty.

2.11 A Final Seminar means the public seminar called by the faculty to determine whether the thesis is acceptable for examination by the Examination Committee.

2.12 Internal candidate means a candidate who will complete their study whilst physically attending a campus of QUT and therefore there is no requirement for a Memorandum of Understanding from an external institution or an External Addendum from the student.

2.13 Masters by coursework means a master's degree, which has a research component comprising less than 67% of the total course of study.

2.14 Masters by research means a master's degree, which has a research component comprising 67% or more of the total course of study.

2.15 Prescribed Form means the required form found on the Research Students Centre website.

2.16 Professional Doctorate (Research) means a doctoral degree at QUT, which has a formal coursework component, comprising no more than 33% of the total course of study.

2.17 Professional Doctorate (Coursework) means a doctoral degree at QUT, which has a significant formal coursework component comprising more than 33% of the total course of study.

2.18 Recognised institution means any tertiary education institution accepted by the Research Degrees Committee for the purposes of these Regulations.

2.19 Research centre or centre means the relevant research centre of QUT.

2.20 Review Period means a period of up to three months after completion of a progress report, eg the Confirmation of Candidature, Annual report or interim faculty report during which the candidate is required to do more work until the faculty advises the Research Degrees Committee that the candidature should be continued or terminated.

2.21 School means the relevant school of QUT.

2.22 Thesis means the collection of materials submitted by the candidate to the Examination Committee for examination.

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3. Admission to Candidature

3.1 To gain admission into a planned research program leading to the award of PhD a candidate normally shall hold a relevant first class or second class division A honours degree or equivalent, or an appropriate masters degree, or a professional doctorate, from a recognised institution (see Regulations 3.2 and 3.3)

3.2 Masters degrees by coursework and coursework professional doctorates must contain a significant research component, which would normally be no less than 33% of the total degree in order to qualify an applicant for admission to the PhD program. Normally, applicants holding a masters by coursework or a coursework professional doctorate must have a GPA of at least 5.0 on a 7 point scale or equivalent standing as certified by the faculty in which the candidate wishes to enrol before they may be admitted to PhD candidature.

3.3 Coursework masters and professional doctorates which do not contain the research component defined in Regulation 3.2 are not considered adequate to allow admission to the PhD program unless (a) the applicant can demonstrate a grade point average of at least 5.0 on a 7 point scale in such a course; and (b) an additional level of research experience and potential which is deemed acceptable to the faculty and approved by the Research Degrees Committee. For example, by the publication of articles in refereed research journals.

3.4 Applicants must demonstrate sufficient command of English to complete the proposed course of study in English, that is, the Confirmation Seminar, the Final Seminar, and the written thesis. (Exceptions may apply, see Regulation 13.2).

3.5 Applicants will require approval from Research Degrees Committee to be admitted where they expect to be concurrently enrolled in another course of study particularly another research degree program.

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4. Application Procedure and Commencement

4.1 Candidature shall have commenced on the date of admission or at some later date as determined by the Research Degrees Committee.

4.2 An application for admission shall be made on the prescribed form and shall involve a two-stage process.

4.3 Stage 1 of the application process must include Doctor of Philosophy Stage 1 Application Form as detailed in:

• the Postgraduate Research Form (PR) (if the applicant holds citizenship or permanent residency in Australia or New Zealand)or International Research Candidature Form FR (if the applicant is an international candidate);
• personal data;
• details of relevant professional and research experience;
• the proposed field of study;
• brief (200-300 words) outline of the research project to be undertaken;
• the centre in which the research is to be undertaken; and
• a certified copy of the candidate's academic record.

The application must be approved by the duly constituted faculty committee which will determine whether the applicant meets the criteria for admission (Section 3) or, if deficiencies exist, what they are and how they can be remedied.

4.4 The Stage 2 application must be completed and submitted to the Research Degrees Committee within three months of conditional admission (up to six months for part-time candidates) and must include:

• a completed Doctor of Philosophy Stage 2 Application form;
• the proposed title of the thesis;
• the objectives of the program of research and investigation;
• an outline of the proposed research;
• the research methods and plan;
• the relation of the study to previous work in the same field by the candidate and others
• a preliminary literature review;
• a substantial bibliography;
• a timeline for completion of the proposed research;
• proposed mode of thesis presentation (i.e., Monograph, by Publication, by Creative Work)
• a statement of individual contribution if the proposed plan of study is part of a group project;
• the coursework to be completed;
• a Research Ethics Review Checklist;
• health and safety requirements
• the proposed supervisors and their credentials; and
• an Intellectual Property Agreement as required (ref. Regulation 6.7).

Stage 2 of the application must be approved by the faculty committee and then recommended to the Research Degrees Committee for final approval.

4.5 If the Stage 2 application is not submitted to the Research Degrees Committee within the time specified, the Research Degrees Committee may, on advice from the faculty committee and Principal Supervisor, terminate the candidature. In exceptional cases an extension of approximately three months may be granted in order to meet the conditions of the Stage 2 application.

4.6 To complete Stage 2 of the application process, the faculty committee shall confirm to the Research Degrees Committee:

• that the applicant's proposed topic of research is consistent with the aims and objectives of the school/centre; and
• that the school/centre is willing and able to provide appropriate accommodation, facilities and physical, human and financial resources for the proposed study for the duration of the candidature.

4.7 Following receipt of the faculty committee's advice on the Stage 2 application, the Research Degrees Committee shall determine that:

• the applicant be admitted to PhD candidature in which case it shall confirm the appointment of supervisors; or
• the applicant be required to submit further information which shall be considered at a subsequent meeting of Research Degrees Committee; or
• the applicant be admitted to masters by research candidature with the option of later applying to upgrade to PhD candidature (ref. Section 7), or
• the applicant not be admitted;

and may set conditions regarding the offer of admission. An applicant who is not admitted to candidature may re-apply for admission at a later date after addressing issues raised.

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5. Enrolment

5.1 Once admitted to PhD candidature, a candidate may enrol either as a full-time or a part-time internal candidate or a full-time or part-time external candidate though restrictions apply to some Scholarship holders.

5.2 To be enrolled as a full-time candidate, a candidate must be able to commit to the course 30 hours per week averaged over each year of candidature. Paid work, including preparation, teaching, marking and research assistant duties, may be undertaken but must not interfere with a candidate's study program. A candidate in receipt of a scholarship is subject to additional restrictions on the amount of paid work allowable as described in the relevant scholarship guidelines.

5.3 A candidate who is unable to devote to the course the proportion of time specified in Regulation 5.2 may enrol as a part-time candidate. A part-time candidate will be expected to progress at half the rate of a full-time candidate: an average of 15 hours per week.

5.4 It is the candidate's responsibility to remain enrolled from the date of commencement until the thesis is submitted for external examination to the Research Students Centre (ref. Section 9).

5.5 The Research Degrees Committee may terminate a candidate's enrolment, having taken account of all relevant documented circumstances and having given the candidate opportunity to show cause why enrolment should not be cancelled if:

• it is of the opinion that the candidate either has effectively discontinued their studies or has no reasonable expectation of completing the course of study within the maximum time allowed (ref. Section 9); or
• the quality and progress of research gives no reasonable expectation of successful completion of the degree based on written/formal communications between the candidate and relevant staff members including the principal supervisor, Head of School and/or Centre Director as recorded in progress reports; or
• the candidate's grade point average in coursework undertaken is below 5.00 on a scale of seven or other measure agreed to between candidate and supervisors or principal supervisor.

5.6 A candidate whose enrolment has lapsed or has been cancelled and who wishes subsequently to re-enter the course of study to pursue an investigation, which is substantially the same as their previous investigation, must apply in writing to the faculty. If the faculty supports the readmission of the candidate, the application will be forwarded to the Research Students Centre for consideration by the Research Degrees Committee, which may set conditions for readmission to the course.

5.7 At any point through their candidature a candidate may submitted a request for transfer to a Professional Doctorate by Research or Masters by Research on the prescribed Transfer Form available from the Research Students Centre or its website.

5.8 Normally, PhD candidates must be affiliated with a centre, which is appropriate to the planned research program. Sole supervisors may be approved by Research Degrees Committee.

5.9 It is the faculty's responsibility to ensure that candidates are affiliated with the appropriate centre. Once the candidate is enrolled, he/she cannot transfer to another centre without faculty endorsement, which must incorporate advice from the relevant Centre Directors, and Research Degrees Committee approval. Reasons for transfer include:

• the centre ceases to exist;
• the centre cannot continue to provide the necessary supervision and/or support;
• the Principal Supervisor transfers to another centre, faculty or institution; and/or
• the candidate asks to be transferred with supportable justification.

Any request for transfer must be made on the Transfer form.

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6. Planned Research Program

6.1 A candidate for the degree of PhD is required to complete successfully a planned research program that will result in the candidate making a significant individual contribution to the body of knowledge. This contribution may be in the form of new knowledge or of significant and original adaptation, application and interpretation of existing knowledge.

6.2 The planned research program will normally include:

• a program of assessed coursework including the Advanced Information Retrieval Skills unit;
• participation in university scholarly activities such as research seminars, teaching or publication;
• regular interaction with supervisors;
• a program of supervised research and investigation; and
• evidence that the program will enable the candidate to acquire competence in relevant methods of research and scholarship related to the subject of the proposed investigation and to demonstrate sustained independent research effort.

6.3 Coursework in the PhD program demands a capacity for critical analysis and a specialisation of research interests not normally appropriate for an undergraduate program. Such coursework may be conducted in a number of ways:

• as advanced lecture courses;
• as seminars in which faculty and candidates present critical studies of selected problems within the subject field;
• as independent study or reading courses under faculty supervision;
• as research projects conducted under faculty supervision.

In all cases, coursework will be based upon a written plan briefly setting out the educational outcomes expected from the course, a list of topics to be covered, the prescribed reading material and the method of assessment of progress through and at the end of the course. This coursework will be planned by the candidate and the Principal Supervisor to contribute to, and or, provide structure to the overall program of research.

6.4 Assessed coursework as described in Regulation 6.3 will comprise not more than 33% of candidature and will normally be completed within the first half of the candidature.

6.5 A candidate is normally expected to pursue the approved program of research and investigation throughout the period of candidature. Where circumstances make significant modification of the program desirable, approval for the proposed change must be sought in writing from the Research Degrees Committee through the faculty committee. Permission to continue the candidature may be given by the Research Degrees Committee in such circumstances provided that the planned research program remains in the same field.

6.6 Where an approved program of research and investigation forms part of the work of a research team or a larger research project, the application must indicate clearly the individual contribution expected to be made by the candidate, their individual research activities and responsibilities and the extent to which the work is to be carried out in collaboration with others.

6.7 Where an approved program of research and investigation is carried out jointly in QUT and in an industrial, commercial, professional or research establishment, an outline of the interrelationship of the work to be undertaken at each of the sites in relation to the whole project must be provided as part of the Stage 2 application. An intellectual property agreement must also be completed on the prescribed form.

6.8 There is provision for PhD candidates, in consultation with their Faculty, to apply to undertake a Joint PhD with another University. Before such an application is given final approval by the Research Degrees Committee, a Joint PhD Agreement must be drawn up between the two participating institutions giving particular details of the arrangements pertaining to candidature including but not limited to: terms of candidature, examination, annual reporting requirements including definitions of satisfactory progress, research proposal submission, intellectual property, animal and human ethics approvals.

6.8.1 Unless otherwise set out below or in a specific Joint PhD Agreement

(a) the relevant provisions of University policies governing research higher degrees will apply to a PhD candidate with a Joint Agreement;

(b) the regulations for the degree of Doctor of Philosophy and regulations and conditions governing scholarships and awards will apply to a candidate with a Joint PhD Agreement;

(c) a candidate with a Joint Agreement enrolled in a PhD programme will be required to work within the appropriate QUT Faculty for at least 30% of the total maximum time limit for the PhD programme as set out in the Joint PhD Agreement.

6.8.2 Unless otherwise approved by the Research Degrees Committee a person for whom a Joint PhD Agreement is being negotiated may not commence work towards the proposed programme until the agreement has been approved by the Research Degrees Committee.

6.8.3 With the permission of the Research Degrees Committee, a candidate enrolled in a PhD course or a masters by research course at QUT may transfer into a PhD programme with a Joint PhD Agreement with full credit for work completed during the PhD or masters by research.

6.8.4 Normally a candidate will not be permitted to enter into a Joint PhD Agreement if they have been enrolled in their current course for more than half of the maximum period of candidature.

6.8.5 A candidate enrolled in a Joint PhD may transfer into a PhD or a masters by research course at QUT with full credit for work completed during the Joint PhD.

6.8.6 When submitting a thesis for examination for a Joint PhD a student will provide to each institution an abstract in the language in which a thesis is normally written at that institution.

6.8.7 There will be one examination process which will be set out in the Joint PhD Agreement and both institutions will be bound by the outcome.

6.8.8 Each candidate involved in a Joint PhD Agreement will be provided with a copy of the Joint PhD Agreement.

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7. Transfer of Candidature from other Research Degrees

7.1 Internal Applicants From Within QUT

7.1.1 Normally a person who has completed 12 months full-time equivalent of candidature in a QUT masters by research program or a QUT professional doctorate (research) may apply to the Research Degrees Committee for articulation to the PhD if the following conditions have been met:

(a) meets the requirements outlined in Section 3;

(b) has demonstrated the capacity to undertake research at the PhD level;

(c) has a research project that is clearly capable of being extended and converted to PhD level; and

(d) has completed the Confirmation of Candidature process including the Confirmation Seminar.

A request for articulation must be made on the prescribed form (the Confirmation of Candidature form) and returned to the Research Students Centre, through the faculty committee, for consideration by the Research Degrees Committee.

7.1.2 A candidate enrolled in a masters by research will only be approved for articulation to PhD candidature when the candidate is able to satisfy all the requirements outlined in Regulation 7.1.1. Where course work has been undertaken as part of the masters by research degree or professional doctorate (research), an articulation will normally be approved only if the candidate has attained a grade point average of at least five on a seven point scale or equivalent standing as certified by the faculty in which the candidate wishes to enrol. Normally a maximum of twelve months' credit from the masters by research program or professional doctorate (research) may be carried forward to the PhD program.

7.1.3 Applications to articulate into the PhD shall be made on the Confirmation of candidature form and submitted via the faculty committee, to the Research Degrees Committee for consideration. Such application shall consist of:

• required administrative details;
• reasons for articulation
• Evidence of the candidate's capacity to undertake research at the PhD level; and evidence of research project meeting PhD level requirements
• substantial details of progress to date;
• full course of study;
• a time-line for completion of the project;
• a certified copy of the candidate's academic record (if transferring from another recognised institution);
• a formal request for the amount of credit to be granted for previous candidature;
• a Research Ethics Checklist or a copy of QUT Ethics Committee Clearance;
• proposed supervisors and their credentials; and
• an Intellectual Property Agreement if required (ref. Regulation 6.7).

7.2 External Applicants From Another Institution

7.2.1 PhD, masters by research or professional doctorate (research) candidates transferring enrolment to a QUT PhD program from another institution will normally be required to undergo the full QUT Confirmation of Candidature process including presentation of a seminar if transferring after twelve months or more of full-time candidature or part-time equivalent at their former institution unless they have successfully completed an equivalent procedure at their previous institution. Candidates seeking transfer to QUT in under twelve months/full-time or twenty-four months/part time will normally be required to submit a Stage 2 application.

7.2.2 External Transfer application to the PhD shall be made on the prescribed form.

7.2.3 The faculty committee shall first review the candidate's progress and planned research program and append to the Stage 1 Application form, a statement which sets out:

• the nature, duration and quality of the work already done, its relevance to the proposed PhD thesis and the recommended amount of credit;
• an appraisal of the candidate's progress and suitability for transfer of candidature and confirmation of PhD candidature;
• an agreement that the proposed research is within the aims and objectives and physical and human resources of the centre and/or school; and
• an agreement that the centre and/or school is willing and able to provide supervision, accommodation, facilities and physical and human resources for the duration of the study.

7.2.4 In considering the Stage 1 application the Research Degrees Committee shall:

• approve the transfer of candidature, normally confirming PhD candidature, and determine the amount of credit to be allowed, the date of admission and minimum and maximum candidature dates; or
• request changes to the planned research program which must be addressed by the candidate and resubmitted to the Research Degrees Committee; or
• not approve the transfer.

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8. Place and Conditions of Work

8.1 Internal candidates (part-time and full-time) are expected to carry out their research program in a suitable environment at a QUT Campus.

8.2 The Research Degrees Committee must be satisfied that appropriate arrangements as set out in these Regulations regarding coursework, participation in scholarly activities, supervision, facilities in training and research methods can be made for each candidate including part-time candidates. The Head of School must ensure that supervision, accommodation, equipment and access to library, computing and experimental facilities meet the needs of the approved planned research program for the duration of the candidature.

8.3 The Research Degrees Committee may permit a PhD candidate to conduct their research as an external candidate either elsewhere in Australia or overseas or to approve a change of enrolment from internal to external status or vice versa.

8.4 The candidate and the Principal Supervisor, at Stage 1 as part of the application process or prior to the requested change to external status, must provide written evidence on the prescribed form to the Research Degrees Committee that:

• the arrangement for the research at the external location (normally a recognised research establishment or place of professional employment) meets the normal requirements of the PhD program;
• the candidate has opportunity to participate in scholarly activities;
• academic standards in the conduct of the PhD research can be assured;
• a suitable program of contacts between the candidate and the Principal Supervisor can be maintained and the methods by which this will be achieved are explained;
• a suitable Associate Supervisor will be responsible for regular supervision and is available at the external establishment or an explanation given as to why this is unnecessary;
• a letter of support from the external establishment stating that the resources required for the study are available and accessible to the candidate and will continue to be available for the duration of the candidature.

In exceptional circumstances the candidate, Principal Supervisor and Centre Director, Head of School or nominee may present a case for exemption from the above requirements.

8.5 External candidates must normally spend a minimum of three months at QUT during the course of their candidature and must normally be present for the Confirmation of Candidature and for the Final Seminar presentation (ref. Regulation 16.9) of the thesis.

8.6 In exceptional circumstances, the candidate may be permitted to complete the Final Seminar by video-conference. At least three months notice must be given of this intention to allow the school, Centre and/or Faculty to make adequate arrangements.

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9. Period of Time for Completion of Planned Research Program

9.1 The expected/Standard period of candidature is:

• full-time candidates: thirty-six months from the date of commencement
• part-time candidates: seventy-two months from the date of commencement

9.2 The minimum period of candidature is:

• full-time candidates: twenty-four months from the date of commencement
• part-time candidates: forty-eight months from the date of commencement

In special cases, the Research Degrees Committee may approve a shorter period.

9.3 The maximum period of candidature is:

• full-time candidates: forty-eight months from the date of commencement
• part-time candidates: ninety-six months from the date of commencement

9.4 Where a candidate wishes to change from full-time to part-time candidature or vice versa, application must be made on the prescribed form and returned to the Research Students Centre, through the faculty committee, for consideration by the Research Degrees Committee.

9.5 A candidate must submit their thesis to the Research Students Centre, for external examination no later than the maximum candidature date.

9.6 A candidate who does not expect to submit their thesis by the maximum candidature date must apply for an extension on the prescribed form and returned to the Research Students Centre, through the faculty committee, for consideration by the Research Degrees Committee prior to the expiry of their maximum candidature date. The application must include the reasons for the delay, the written endorsement of relevant school and Faculty nominees and a revised time-line for completion. Applications for extensions will not normally be considered by the Research Degrees Committee unless the reasons for the delays have been documented in previous annual reports (ref. Section 11).

9.7 The maximum period of extension for which a candidate may be given approval is 12 months past the original maximum candidature date for full-time candidates and 24 months for part-time candidates. In exceptional circumstances, which must be documented, the Research Degrees Committee may approve a further extension. Minor breakdown of computer equipment or absence of the Principal Supervisor are not usually considered exceptional.

9.8 A candidate who wishes to take leave of absence for a specified period from their PhD program must apply in advance on the prescribed form and return it to the Research Students Centre, through the faculty committee, for consideration by the Research Degrees Committee. The application must include the reasons for the leave of absence, the written endorsement of the Principal Supervisor and the start and end dates of the period of leave. If the Research Degrees Committee approves the period of leave of absence, the duration of the specified period will be added to the minimum and maximum submission dates of the candidature.

9.9 Normally, the maximum period of leave of absence for which a candidate may be given approval is 12 months for a full-time candidate and 24 months for a part-time candidate during the term of their candidature. A candidate who wishes to take leave of absence for a longer period must withdraw from candidature and apply for re-entry at a later date, on the prescribed form.

9.10 Normally, leave of absence will not be granted prior to successful submission of the Stage 2 application.

9.11 A candidate who remains not currently enrolled for a period greater than twelve months will be deemed to have ceased their program of study and their candidature will be terminated. If a candidate is unable to complete the approved course of study the candidate may apply for transfer to an appropriate masters or professional doctorate by research.

9.12 Candidates are entitled to receive up to twelve months parental (maternity/paternity/ adoption) leave. The Research Degrees Committee must be notified on the prescribed form and supplied with a medical certificate (and in the case of paternity leave a marriage certificate or statutory declaration showing the candidate's relationship to the mother), and the written endorsement of relevant Faculty nominees. Periods of parental leave shall not be included as part of the 12 or 24 month leave of absence maximum.

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10. Supervision

10.1 Supervision of PhD candidates shall be conducted according to the QUT Code of Good Practice ( D/5.4 ) for Postgraduate Research Studies and Supervision (see also QUT Code of Conduct for Research )

10.2 A Principal Supervisor and at least one Associate Supervisor from QUT shall be appointed.

10.3 The Principal Supervisor has responsibility for supervising the candidate on a frequent basis and must be a current member of QUT staff or an Emeritus Professor of QUT still active in research. The Principal Supervisor shall have undertaken successful supervision of research degree candidates, shall normally have a PhD and shall have an established research record in the area of the proposed project.

10.4 One Associate Supervisor must be a member of QUT staff for all internal and external candidates. Where appropriate, more than one Associate Supervisor may be appointed and additional Associate Supervisors may be from either QUT or another appropriate industrial, professional, commercial or research establishment. Associate Supervisors should possess appropriate expertise in the research field and normally have undertaken successful supervision of research degree candidates and must indicate their agreement to supervise on the prescribed form. An Associate Supervisor may be appointed from an establishment formally collaborating on a research project. Employers of the External Associate Supervisors must approve a completed Memorandum of Understanding to confirm the appointment of the supervisor and commitment of resources for the candidate.

10.5 For a candidate studying externally, an Associate Supervisor from the external institution linked to the project will normally be appointed. Employers of the External Associate Supervisors must approve a completed Memorandum of Understanding to confirm the appointment of the supervisor and commitment of resources for the candidate.

10.6 A person who is currently a candidate for a PhD (at QUT or elsewhere) may not act as a Principal Supervisor for a PhD candidate at QUT, and should not normally act as an Associate Supervisor unless approved by Research Degrees Committee.

10.7 Where the Principal Supervisor will be absent from QUT for a period of three consecutive months or longer during the period of candidature, the QUT Associate Supervisor will become acting Principal Supervisor for this period.

10.8 If the Principal Supervisor leaves the staff of QUT, the QUT Associate Supervisor will normally fill the role of acting Principal Supervisor immediately and until a new Principal Supervisor is appointed by the faculty, with the agreement of the candidate. A formal appointment of a new Principal Supervisor must be made within three months of the original Principal Supervisor's departure.

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11. Reporting Procedures

11.1 The Principal Supervisor and candidate are required to report annually on the prescribed form to the Research Degrees Committee on the candidate's progress and research plans. Reports shall be signed by both the candidate and by the Principal Supervisor and submitted through the faculty committee, Head of School /Director of the Centre or nominee to the Research or Students Centre for consideration by the Research Degrees Committee.

11.2 Faculties should develop additional internal policies and procedures for review of candidates' progress between annual reports that ensure unsatisfactory progress is dealt with expeditiously.

11.3 Where the candidate's progress is deemed satisfactory, the Research Degrees Committee shall approve continuation of candidature.

11.4 Where progress is deemed unsatisfactory, in the Confirmation of Candidature, Annual Report or other interim faculty report, the Research Degrees Committee, on advice from the Faculty Research Committee, will normally place the candidate under review for a period of up to three months from the date that the candidate is advised in writing of the decision. The Research Degrees Committee will inform the candidate of the required remedial action to be followed taking account of the advice provided by the Principal Supervisor and the faculty. At any stage through this review process the candidate may submit a Transfer Form to change their course from the PhD to a Masters by Research or Professional Doctorate. The Research Degress Committe shall consider the transfer application and if approved, it will lead to the end of the PhD candidature and the discontinuation of the Review Period. A Faculty, School or Centre may require a Review Period in the new course of study as a condition of transfer.

11.5 For continuing PhD candidature, after the Review Period the Faculty Committee must forward to the Research Degrees Committee a report on the Candidate's progress which will include written documentation of the steps that have been taken to resolve the specified deficiencies in the candidate's program and an assessment of progress during the Review Period. The Research Degrees Committee will then approve continuation of candidature if the progress is deemed satisfactory.

11.6 If progress is still unsatisfactory after the Review Period, the Research Degrees Committee, on advice from the Faculty Committee, shall ask the candidate to show cause why the enrolment of the candidate should not be terminated (ref. Regulation 12.8).

11.7 A candidate who has been placed under review after an unsatisfactory annual report or interim report established by the faculty may not take leave of absence until the continuation of the candidature has been approved by the Research Degrees Committee.

11.8 When a candidate's progress has been reported to the Research Degrees Committee as unsatisfactory in any two consecutive reports during the candidature, the Research Degrees Committee shall ask the candidate to show cause why the enrolment of the candidate should not be terminated.

11.9 If a candidate fails to submit an annual report through their Principal Supervisor to Research Degrees Committee by the due date without applying, in writing, for an extension on the prescribed form two weeks prior to the due date, the Research Degrees Committee may ask the candidate to show cause why the enrolment of the candidate should not be terminated.

11.10 Applications for extensions of candidature or scholarships or leave of absence due to delays or problems with the planned research program will not normally be considered by the Research Degrees Committee unless the delays or problems have been documented in previous reports.

11.11 If the candidate does not show cause (refer Regulations 11.6, 11.8) why the enrolment should not be terminated, the Research Degrees Committee may terminate the candidate's enrolment or with the agreement of the faculty offer admission to candidature for the degree of masters by research.

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12. Confirmation of Candidature

12.1 Within twelve months of admission for full-time candidates and twenty-four months for part-time candidates, the candidate shall present (in consultation with their supervisors) a plan of the research program for the remainder of the candidature and a report on the work done to this point. This confirmation report shall incorporate a substantial literature review and shall provide evidence of the research capacity of the candidate including the rate of progress to this point. The plan shall include:

• the area of study in which the candidate's course is located;
• any remaining coursework to be completed including an assessment plan;
• the nature of participation in scholarly activities of the centre, school, or faculty in which the study is being undertaken;
• the objectives of the program of research and investigation and its relationship to published research in the same field;
• the research methods to be followed;
• the mode of thesis presentation e.g. by publication, monograph or creative works.
• the title of the thesis; and
• a time-line for completion of the research program.

12.2 The candidate shall present this confirmation report and planned research program at a Confirmation Seminar open to faculty members and the public. Normally, a Review Panel shall be appointed by the Faculty including the principal supervisor, Head of School or nominee and a senior member of faculty staff from outside the school or centre in which the candidate is located.

12.3 A candidate who is not able to complete Confirmation of Candidature within the timeframe listed in Regulation 12.1 must apply for an extension at least one month in advance of that deadline through the faculty committee to the Research Degrees Committee. Normally, a maximum of three months extension may be granted.

12.4 The faculty committee shall review the candidate's progress and planned research program and shall submit their recommendations on the prescribed form to the Research Degrees Committee. This shall include:

• an appraisal of the research capacity of the candidate
• an appraisal of the candidate's progress and suitability for continuation in the PhD program;
• the documents prepared by the candidate pursuant to Regulation 12.1;
• a statement that the research program is of the standard required for a PhD program;
• statements of whether the studies continue to be within the aims and objectives and physical and human resources of the centre and/or the school; and
• a report on the candidate's seminar.

12.5 Candidates who are undertaking confirmation in order to articulate from a masters by research or a professional doctorate (research) at QUT must complete the confirmation process and should address the additional requirements in Regulation 7.1.

12.6 In considering the application for Confirmation of Candidature, the Research Degrees Committee:

• will, if the conditions are met, confirm the candidature and notify the candidate; or
• may require changes to the planned research program; or
• may, if the recommendation of the faculty committee is not to confirm the candidature immediately, place the candidate under review for up to three months. At the end of the Review Period, the faculty committee must advise the Research Degrees Committee whether the conditions of the review have been met.

12.7 Where a candidate is placed under review following the Confirmation process, the Principal Supervisor must advise the candidate within seven days of the seminar of the conditions to be met in the form of clear, written guidelines on the work to be completed and due dates for the submission of materials and whether a further Confirmation Seminar is required. The conditions must be endorsed by the candidate, supervisor(s), director of centre, the Head of School or nominee, chair of the appropriate faculty committee or executive dean as appropriate and be forwarded within fourteen days to the Research Students Centre for noting by the Dean of Research and Research Training.

12.8 Where a candidate's progress remains unsatisfactory after the Review Period the Research Degrees Committee, on advice from the faculty committee, shall either grant a further extension of the Review Period of up to three months or, after giving the candidate the opportunity to show cause why one of the following courses of action should not be taken:

• terminate the candidature with an offer of admission to the degree of masters by research, or
• terminate the candidature with no such offer.

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13. Thesis Guidelines

13.1 The thesis must be presented in accordance with the requirements of the QUT Council, including any accompanying declarations and in accordance with - Requirements for Presenting Theses and the main body of the text must not exceed 100,000 words.

13.2 Except with the specific permission of the Research Degrees Committee the thesis must be presented in the English language. Such permission must be sought at Stage 1 of the application for admission to the PhD program and will not be granted solely on the grounds that the candidate's ability to satisfy the External Examination Committee will be affected adversely by the requirement to present the thesis in English.

13.3 Where a candidate's research program forms part of the work of a research team or larger research project, the thesis must indicate clearly the candidate's individual contribution and the extent to which co-workers contributed to the candidate's program.

13.4 Subject to QUT's intellectual property policy (see Intellectual Property Policy ; Copyright Guidelines ) the copyright of the thesis is vested in the candidate.

13.5 Where a candidate or the sponsoring establishment wishes the thesis to remain confidential for a period of time after the completion of the work, written application for approval stating the reasons must be made to the Research Degrees Committee when the thesis is submitted for external examination. The period normally shall not exceed two years from the date on which the Head of School or nominee recommends acceptance of the thesis to the Research Degrees Committee.

13.6 A candidate may not present in the thesis any work for which another degree or diploma has been awarded by QUT or any other academic institution, but such a candidate shall not be precluded from incorporating extracts from such work in the thesis provided that the sum of any such extracts does not constitute more than 10% of the thesis and provided also that the source of each such extract is stated explicitly.

13.7 Prior approval must be obtained from the Research Degrees Committee for any course of PhD study leading to the presentation of a thesis other than in writing. Full details of the alternative course of study should be provided formally at Stage 2 together with a proposal regarding the form the final thesis and its examination is expected to take.

13.8 A candidate may submit with the thesis other kinds of relevant material (such as films, audio tape recordings, video tape recordings, CD -ROMS, models, software programs, evidence of exhibitions, or other materials for the purposes of illustration) which shall be accompanied by evidence of the extent to which the candidate has been responsible for their preparation.

13.9 A PhD may be awarded on the basis of the submission of published papers as per Section 14, normally indicated in the Stage 2 submission.

13.10 A PhD may be awarded on the basis of the submission of a creative work as per the Regulations set out in Section 15, normally indicated in the Stage 2 submission.

13.11 A candidate's name will not be placed on the list for graduation until final bound and electronic copies of the thesis are received in the Research Students Centre.

13.12 A candidate who passes but is required to make revisions to the thesis after external examination must lodge

the final bound and electronic copies of the thesis with the Research Students Centre, no later than 12 months after the date of receipt of examiners' reports or the candidate shall be deemed to have failed unless an extension has been approved by the Research Degrees Committee.

13.13 When a final copy of the thesis has been lodged with the Research Students Centre in electronic and final bound form, the names of the examiners will be released to the candidate on request, providing that the examiner has not indicated otherwise.

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14. Presentation of PhD Theses by Published Papers

14.1 Preamble

14.1.1 The Queensland University of Technology permits the presentation of theses for the degree of Doctor of Philosophy in the format of published and/or submitted papers, where such papers have been published, accepted or submitted during the period of candidature; and where the quality of such papers is appropriate to PhD-level research. For the purpose of this Regulation, papers are defined as journal articles, book chapters, conference papers and other forms of written scholarly works which are subject to a process of peer review similar to that of refereed journals. Creative works are not included in this definition. Such works are dealt with in Regulation 15 (below).

14.1.2 Papers submitted as a PhD thesis must be closely related in terms of subject matter and form a cohesive research narrative.

14.1.3 A thesis by published papers is subject to examination according to the same process as laid out elsewhere in these Regulations, so as to ensure that the quality of the thesis is measured against the same standards as those which apply to other theses.

14.2 Format

14.2.1 The thesis may be comprised of published papers, manuscripts accepted for publication, manuscripts submitted for publication or under review.

14.2.2 The minimum number of papers and/or manuscripts is normally three. However, in some disciplines a larger number of papers is required to meet the expectations of scope and quality commensurate with PhD-level research. At least one paper must have been published, accepted, or be undergoing revision following refereeing. The faculty research committee is the source of appropriate advice to PhD candidates with respect to disciplinary norms in these matters.

14.2.3 Where the papers have multiple authorship, the candidate must be principal author on at least two of the three papers and have written permission of the co-authors.

14.2.4 Normally, the thesis shall include the following in addition to the elements listed in QUT's Requirements for Presentation of Theses:

• list of publications and/or manuscripts;
• acknowledgments of joint authors and verification of permissions;
• published papers and submitted manuscripts

14.2.5 Some of the elements of a standard thesis are likely to take a different form when presented in a thesis by published papers. The abstract summarises the main findings presented in each published paper or submitted manuscript and should indicate how the included works are tied to a coherent intellectual framework, and how, when considered together, they demonstrate a significant contribution to knowledge in the discipline.

4.2.6 The introduction should contain succinct statements under the following headings:

• description of research problem investigated;
• overall objectives of the study;
• specific aims of the study; and
• account of research progress linking the research papers.

The account of research progress must link together the various papers submitted as part of the thesis. The intention of this Section is to provide continuity for the entire thesis so that the reader can move from one chapter to the next understanding the logic behind the progression of the research program.

14.2.7 The literature review may replicate literature cited in subsequent chapters but must contain, in a form consistent with discipline norms, a critical review of relevant literature and other works, identification of knowledge gaps, and the relationship of the literature to the program of research

14.2.8 The conclusion for a thesis by published papers establishes the cumulative effect of the papers, the significance of the findings and the knowledge claim in the thesis.

14.2.9 Published papers/papers submitted in the following categories may be included but each must be presented as an individual chapter in the thesis:

• published papers;
• manuscripts accepted for publication;
• manuscripts submitted and under review by referees; and
• manuscripts under revision following referees' reports.

14.2.10 Only papers which have been published by or submitted to journals and publications approved by the faculty research committee are allowable under these Regulations. Short Communications and Letters are acceptable, but the bulk of the thesis should be made up of full length papers. A list of titles of publications recommended by faculties as being of a high quality standard appropriate for PhD-level research is published on the Research Students Centre website.

14.2.11 Manuscripts which have been rejected by a publisher must not be included unless they have been substantially rewritten to address referees' comments as certified in the Final Seminar documentation.

14.2.12 Each published paper or submitted manuscript must begin with a clear statement of the contribution made by each author of any jointly authored paper. The description must be sufficiently detailed to describe accurately the contribution of each author.

14.3 Presentation

14.3.1 The thesis must be presented in accordance with the requirements of the QUT Council, including any accompanying declarations and in accordance with the Requirements for Presenting Theses . This document requires that a final bound copy and an electronic copy of the thesis will normally be provided to the Research Students Centre when all corrections have been finalised and approved by the relevant Faculty nominees. Normally, nominees would be the principal supervisor and Head of School but may also at the Faculty's discretion include others.

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15. Presentation of PhD Theses by Creative Works

15.1 Preamble

15.1.1 In the case of a thesis submitted in the area of artistic practice, presentation may be in one of two forms: a theoretical thesis or artwork and exegesis. The artwork may be in the form of exhibition, performance, literary work, film, CD Rom or other approved format. The artwork and exegesis will be examined as an integrated whole. The artwork should provide a coherent demonstration that the candidate has reached an appropriate standard in the research and has made a significant and original contribution to knowledge in the area. The exegesis should describe the research process and elaborate, elucidate and place in context the artistic practice undertaken. In the case of visual or performing arts, the examiners will attend the exhibition/performance, at which time they will be given a copy of the exegesis in temporary binding. A final copy of the exegesis will be provided to the examiners within three months of their viewing the artwork.

15.2 Examination of a Creative Work Other Than a Printed Thesis

15.2.1 Where other materials are to be examined, such as in the areas of visual, performing, literary or media arts, the candidate must seek approval from Research Degrees Committee for the form and presentation of the thesis at the time of the Stage 2 application for entry to the PhD program.

15.2.2 Artistic practice may be examined by a theoretical thesis or by artwork and exegesis. The artwork and the exegesis will not be examined separately but as an integrated whole constituting the original and substantial contribution to knowledge required from doctoral candidates.

15.2.3 A theoretical thesis is a written document which would conform in all respects to the remainder of this policy.

15.2.4 Studio-based inquiry may result in a thesis presented by artwork and exegesis. The artwork should be the research outcome, while the exegesis should describe the research process and elaborate, elucidate and place in context the artistic practice undertaken.

15.2.5 The exegesis would normally not exceed 50,000 words and would conform in all respects to the remainder of this policy. It should also contain a description of the form and presentation of the artistic practice which constitutes the remainder of the thesis.

15.3 Milestone requirements

15.3.1 Students are required to submit documents for milestone events, consistent with other PhD candidates. However, the Creative Industries Faculty has prepared Guidelines on the Preparation of Milestone Documents for Thesis by Creative Works. These guidelines extend on the existing university wide guidelines and provide advice specifically explaining how these documents can be prepared by candidates engaging in practice-led research. It is expected that students will use these guidelines to support them in preparing to meet milestone requirements.

15.4 Presentation

15.4.1 The thesis must be presented in accordance with the requirements of the QUT Council, including any accompanying declarations and in accordance with the Requirements for Presenting Theses. This document requires that a final bound copy and an electronic copy of the thesis will normally be provided to the Research Students Centre when all corrections have been finalised and approved by the relevant Faculty nominees. Normally, nominees would be Principal Supervisor and Head of School.

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16. Examinations

16.1 Any fees payable in relation to the examination of a candidate shall be determined by the Council.

16.2 At least three months prior to the maximum candidature date (or anticipated completion date) the Principal Supervisor having obtained the agreement of the faculty committee, shall recommend to the Research Degrees Committee, on the prescribed form, the composition of a proposed Examination Committee and the title of the candidate's thesis.

16.3 The Examination Committee shall comprise two external examiners who will examine the thesis plus a reserve external examiner to be called upon only if the first two examiners are in disagreement. (ref. Section 18)

16.4 In exceptional circumstances, the Research Degrees Committee may act directly to facilitate the examination process of a thesis including the appointment of examiners.

16.5 Any person who has acted as the candidate's Principal or Associate Supervisor; or participated in the candidate's research group or in any capacity where a conflict of interest is seen to exist shall not be nominated by the faculty committee as an examiner. (refer to QUT Code of Conduct - Integrity )

16.6 Examiners must have demonstrable and substantial publications and research experience in the area under investigation, preferably have a PhD and be widely recognised in the relevant field. At least one of the nominated examiners should be from an internationally recognised university or equivalent research institution based in Australia or overseas. At least one examiner must also have had substantial experience of examining research degree candidates at the doctoral level. Agreement will be sought from examiners to examine the thesis within 8 weeks of receipt of the thesis.

16.7 If more than three months has elapsed between the nomination of examiners and the submission of the thesis, the faculty committee must notify the Research Degrees Committee that the nominated examiners are still willing and able to examine the thesis within 8 weeks of its receipt. If any previously nominated examiner is unable to examine the thesis, a replacement examiner must be nominated by the Principal Supervisor with the agreement of the faculty committee for approval by the Research Degrees Committee.

16.8 In order to determine whether the thesis is acceptable for examination by the Examination Committee, the candidate shall be required to present a Final Seminar based on the work described in the thesis to the faculty to which he/she is attached.

• This final seminar shall normally take place no less than three months prior to the expected submission date.
• The faculty shall constitute a panel of at least 3 members including the Principal Supervisor to attend the seminar and to report on the readiness of the thesis for external examination. Normally, the final seminar panel shall be appointed by the faculty including the principal supervisor, Head of School or nominee and a senior member of faculty staff from outside the school or centre in which the candidate is located. The panel shall normally be chaired by the Principal Supervisor, and shall question the candidate on the content of the thesis at the conclusion of the seminar. Each member of the panel must receive a copy of the draft thesis 14 days prior to the final seminar.
• The panel may require changes to the thesis or ask that further work be done prior to submission of the thesis. The thesis is accepted by the University for external examination only when the panel chair signifies its belief that the degree requirements have been met. The faculty panel chair shall use the prescribed form when advising Research Degrees Committee that the thesis is ready for external examination.
• The final seminar shall be open to the public and shall be widely advertised by the faculty so as to ensure attendance by researchers and research students within the faculty.
• In all other matters the form and timing of the final seminar is determined by the faculty.

16.9 The thesis must be accompanied by a certificate endorsed by the Final seminar Panel Chair (normally the Principal Supervisor), Head of School or nominee, and the faculty committee stating that all reasonable efforts have been made by the faculty to ensure that:

• the thesis makes an original and significant contribution to the field of research;
• the methodology applied in the candidate's research is effective and appropriate for the thesis topic and the PhD;
• the thesis reflects competence in the survey of literature and documentation of statements;
• the thesis is of the required standard for external examination;
• the thesis is well written having due consideration to relevant writing conventions and style guidelines.
• the thesis is within the prescribed word limit;
• the candidate has presented a Final Seminar;
• an external candidate has spent at least three months minimum at QUT during the course of their enrolment;
• original correspondence from editors has been sighted and that editorial advice has been followed in the manuscripts submitted for examination (if applicable); and
• acknowledgment is given regarding the inclusion of all published and other sources of information, together with any substantial financial assistance received for the project.

The examiners will be advised of the faculty's endorsement and the successful completion of this process.

16.10 In exceptional circumstances, following the Final Seminar, the Research Degrees Committee may allow a candidate to submit their thesis for external examination without the requirement for certification (ref. Regulation 16.9). The candidate must apply in writing to the Research Degrees Committee for such permission, outlining the reasons why the required certification is not included. The examiners will be advised that:

" PhD Regulation (16.10) allows in exceptional circumstances for submission of the thesis without faculty endorsement. On submission of your examiner's report you may ask if the thesis was granted faculty endorsement. "

16.11 Three copies of the thesis, in the prescribed format must be submitted to the Research Students Centre, no later than the maximum candidature date (see Regulation 9.2).

16.12 The Research Students Centre, on the advice of the Research Degrees Committee, shall provide the examiners with a copy of the thesis and of the Council's Regulations for the Award of the Degree of Doctor of Philosophy, and any other relevant information.

16.13 Each examiner will be asked to provide a written report to the Research Students Centre on the candidate's thesis and to recommend one of the following courses of action:

Recommendation 1 : The candidate should be awarded the degree without the requirement for revision, further examination or modification (minor corrections and typographical errors only); or

Recommendation 2 : The candidate should be awarded the degree subject to minor nominated revisions being completed to the satisfaction of the Head of School and Principal Supervisor; or

Recommendation 3 : The candidate should be awarded the degree following the completion of major nominated revisions to the satisfaction of the Head of School and Principal Supervisor; or

Recommendation 4 : The candidate should be permitted to substantially revise and submit the thesis for re-examination within twelve months after a specified amount of further work (which may alter the substantive conclusions of the thesis) has been completed under approved supervision and the thesis appropriately amended to reflect the additional research; or

Recommendation 5 : The candidate should be awarded the degree at Master's level: without the requirement for further revision or further examination; subject to nominated revisions being completed to the satisfaction of the Head of School and Principal Supervisor; subject to revision and submission for re-examination after completion of further work; or

Recommendation 6 : The thesis should be rejected, the degree should not be awarded and the candidate should not be permitted to submit the thesis for re-examination for the degree.

16.14 After both examiners' reports are received the Research Students Centre will forward them to the Head of School or nominee, the Principal Supervisor, and the candidate with an appropriate covering letter. (Until such time as the examination process is complete the identity of the examiners will be withheld from the candidate.)

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17. Examiners in Agreement

17.1 Where both examiners recommend that the candidate should be awarded the degree (recommendation 1, 2 or 3) the Head of School, or nominee will consult with the Principal Supervisor, Centre Director and/or Postgraduate Studies Coordinator as required to discuss any corrections or revisions that the candidate may be required to make and where revisions are required.

17.2 When all corrections or revisions have been made to the satisfaction of the Head of School or nominee and the Principal Supervisor, the Head of School or nominee and the Principal Supervisor must certify to the Research Degrees Committee that they recommend acceptance of the thesis in fulfilment of the conditions for the award of the PhD degree.

17.3 Where both examiners recommend that the thesis be revised and resubmitted for examination (Examiners Report Recommendation 4), after consultation with the Principal Supervisor and the Centre Director, the Head of School or nominee, the examination committee will inform the candidate in writing of the revisions and/or any action required. A copy of the action required will be provided to Research Degrees Committee for reference.

17.4 Where both examiners recommend that the candidate should be awarded the degree at master's level (Recommendation 5), the Head of School or nominee will consult with the Principal Supervisor to discuss any revisions that the candidate may be required to make and forward a recommendation to the Research Degrees Committee. Once approved, the Head of School will meet with the Centre Director and Principal Supervisor to discuss outcomes with the Principal Supervisor responsible for informing the candidate of the decision.

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18. Examiners Not In Agreement

18.1 Where the recommendations of the external examiners are not in agreement as to whether the thesis should be accepted for the award of PhD or as to whether the thesis may be revised and resubmitted the thesis will be sent to the third nominated examiner except when the examiners' recommendations are similar, for example, recommendations 3 and 4, in which case the Research Degrees Committee chair shall determine the course of action.

18.2 Upon receipt of the third examiner's report, a majority decision shall be adopted taking into account the comments of all three examiners.

18.3 Where the majority decision is that the thesis be accepted for the award or the thesis be accepted for the award of a masters degree or the thesis be rejected and the candidate not be permitted to resubmit, the procedures in Section 17 shall apply.

18.4 Where the majority decision is that the candidate be required to submit for re-examination or the thesis fails, the procedures in Section 17 shall apply.

18.5 Where the recommendations of the three examiners clearly differ and no clear majority exists, the Head of School or nominee shall liaise with the Dean of Research and Research Training, and the Principal Supervisor to determine the further course of action which may involve any of the outcomes listed in Regulation 16.13.

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19. Re-examination

19.1 A candidate who is required to submit for re-examination may be re-examined only once except in the case of an upheld appeal.

19.2 Re-examination shall take place within twelve months from the date on which the candidate is advised in writing by the Head of School or nominee of such re-examination. The Research Degrees Committee may, on written application by the candidate and supported by the Principal Supervisor and Head of School or nominee with suitable justification, approve an extension to this period which, under normal circumstances, may be a maximum of a further twelve months.

19.3 A candidate who is required to submit their thesis for re-examination must re-enrol in the PhD program.

19.4 The thesis shall be re-examined by the same two examiners unless:

• any of the examiners is unable to re-examine the thesis in which case the Head of School or nominee with the agreement of the Principal Supervisor and the faculty shall nominate a replacement examiner(s) who must be approved by the Research Degrees Committee; or
• the Research Degrees Committee replaces one or more of the examiners on advice from the Research Degrees Committee chair and with suitable justification.

19.5 Examiners re-examining a thesis will be asked to provide a written report on the candidate's thesis and to recommend one of the following courses of action:

(a) the candidate should be awarded the degree with or without minor nominated revisions; or

(b) the candidate should be awarded the degree at masters level with or without minor nominated revisions; or

(c) the thesis should be rejected and the degree should not be awarded.

19.6 Regulations applicable to PhD examination shall apply to the re-examination.

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20. Appeals

20.1 A candidate whose thesis has been failed or whose thesis has been recommended for the award of the degree of master may lodge an appeal against the outcome of the examination process.

20.2 The grounds for appeal may be on matters of process only, ie procedural irregularities in the conduct of the examination or documented evidence of examiner bias as evidenced by comments in the examiners reports.

20.3 An appeal must be lodged within sixty (60) days of the date of written advice from the Research Students Centre on the outcome of the examination. This appeal must include the specific grounds on which the appeal is based.

20.4 Appeals as described in Section 20 must be submitted, in writing, to the Office of the Deputy-Vice-Chancellor (Research and Commercialisation). The Dean of Research and Research Training, will determine whether a potential conflict of interest exists in relation to their consideration of the appeal.

20.5 In cases where a conflict of interest exists, the Dean of Research and Research Training, will appoint a member of academic staff, with expertise in research candidate supervision, to consider the appeal.

20.6 The Dean of Research and Research Training, or appointee will decide whether a case exists and may seek the advice of the faculty, school or centre as appropriate.

20.7 The appeal may be allowed or dismissed. If an appeal is allowed, the Dean of Research and Research Training, or appointee cannot recommend that the degree be awarded but shall recommend that: the thesis be re-examined. This re-examination shall be carried out in accordance with Section 19 taking account of the issues raised in the successful appeal.

20.8 The Dean of Research and Research Training, or appointee will make a determination on the appeal as soon as practicable and will advise appellants, in writing, of the result of the appeal.

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Modification History