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									       The University of New England




           Quality Supervision

A Handbook for Postgraduate Research Students
              and Supervisors




                   April 2005
                                                 Foreword

UNE recognises that postgraduate research students are an extremely important part of a
vibrant academic community.

This document is the product of a comprehensive and on-going review of research higher
degrees at UNE. The review has involved broad consultation with academic and
administrative staff. The review is intended to provide improvements that enhance the overall
experience of undertaking a research degree at the University of New England.

The primary intention of this handbook is to provide a consolidated source document to aid
research students and their supervisors develop a successful and rewarding research
relationship, to provide for early identification and satisfactory resolution of issues and
concerns, and provide a framework that facilitates timely completion of the research thesis.

The policies and procedures contained within the document are consistent with the Joint
NHMRC/ AVCC Statement and Guidelines on Research Practice (1997). The University
reserves the right to review and amend its policies and procedures to bring them into line with
the Australian Code for Conducting Research when implemented.

There are Faculty / Centre / School staff, information and support services that underpin the
objectives of a quality research experience for research higher degree students at UNE.




                                              Acknowledgement

The original of this handbook was prepared by the Manager – Research Services Office. Subsequent changes have
been incorporated with the assistance of the Pro Vice-Chancellor (Research & Development), the Associate Deans
Research, members of the UNE Doctoral Committee and the Acting Manager, Research Services.




University of New England                             i              Postgraduate Research Degree Handbook
                                                            CONTENTS
         1.0  Introduction....................................................................................................................... 2
         2.0  Glossary ............................................................................................................................. 3
         3.0  Pathways to a Research Degree ...................................................................................... 4
              3.1 Research Masters................................................................................................... 4
              3.2 Upgrading from a Masters Research Degree to a Higher Research
                    Degree, e.g. PhD ..................................................................................................... 4
              3.3 PhD – 3 year programme...................................................................................... 5
              3.4. PhD – 4 year programme...................................................................................... 5
              3.5 Probationary Candidature ................................................................................... 6
         4.0 Commencing Students: Roles and responsibilities of Students and Supervisors...... 6
              4.1 First contact............................................................................................................ 6
              4.2 Student / Supervisor – Record of Meetings ........................................................ 7
              4.3 Students with English as a Second Language..................................................... 7
         5.0 Student Roles and Responsibilities ................................................................................. 7
              5.1 General.................................................................................................................... 7
              5.2 Enrolment in Coursework Units .......................................................................... 7
              5.3 Studying Another Degree Concurrently with a Research Degree ................... 8
              5.4 Seminar ................................................................................................................... 8
              5.5 Progress Reports .................................................................................................... 8
              5.6 Studying as an Internal Student .......................................................................... 9
              5.7 Studying as an External Student.......................................................................... 9
              5.8 Change of Mode/Status of Study.......................................................................... 9
              5.9 Change in Thesis Title / Research Topic........................................................... 10
              5.10 Fieldwork or Research Overseas ....................................................................... 10
              5.11 Research Involving Humans or Animals .......................................................... 11
         6.0 Supervision ...................................................................................................................... 11
              6.1 Appointment of Supervisors............................................................................... 11
              6.2 Change of Supervision......................................................................................... 11
              6.3 General Role of Supervisors ............................................................................... 12
         7.0 Extension / Suspension of / Withdrawing from Candidature ................................... 13
              7.1 General.................................................................................................................. 13
              7.2 Withdrawal from Candidature .......................................................................... 13
              7.3 Suspension of Candidature................................................................................. 13
              7.4 Extension of Candidature ................................................................................... 14
         8.0 Intellectual Property....................................................................................................... 15
              8.1 Definitions............................................................................................................. 15
              8.2 Background IP – Postgraduate Research Students ......................................... 15
              8.3 Intellectual Property............................................................................................ 15
              8.4 Review of Intellectual Property With 6-monthly and Annual
                    Reports .................................................................................................................. 16
         9.0 Publication....................................................................................................................... 16
         10.0 Student Support .............................................................................................................. 17
              10.1 Scholarships.......................................................................................................... 17
              10.2 Minimum Facilities for Postgraduate Research Students .............................. 17
              10.3 Library Resources ............................................................................................... 18
              10.4 Academic Skills Office......................................................................................... 18
              10.5 International Office ............................................................................................. 18
         11.0 Dispute Resolution .......................................................................................................... 18




University of New England                                              ii                    Postgraduate Research Degree Handbook
         12.0 Preparation and Distribution of Theses/Portfolios..................................................... 19
              12.1 General.................................................................................................................. 19
              12.2 Presentation Order of Thesis Items................................................................... 21
              12.3 Use of the Work of Others .................................................................................. 21
              12.4 Title Page .............................................................................................................. 21
              12.5 Candidate's Certification.................................................................................... 22
              12.6 Head of School and Principal Supervisor's Certification ............................... 22
              12.7 Confidential Recommendation of Examiners by Head of School .................. 22
              12.8 Distribution of the Thesis.................................................................................... 22
         13.0 Examination of the Thesis.............................................................................................. 23
              13.1 The Process of Examination ............................................................................... 23
              13.2 The Unbound Thesis Copy Submitted for Examination................................. 24
              13.3 Keeping in Touch................................................................................................. 25
         14.0 Graduation ...................................................................................................................... 26
         Appendix A
                  UNE MASTERS COURSES 2005 ................................................................................ 27
         Appendix B
                  QUALITY AND STANDARDS IN RESEARCH HIGHER DEGREES................. 28
         Appendix C
                  UNE CODE OF CONDUCT FOR RESEARCH ........................................................ 52
         Appendix D
                  MINIMUM FACILITIES FOR UNE POSTGRADUATE RESEARCH
                  STUDENTS ..................................................................................................................... 64
         Appendix E
                  STUDENT / SUPERVISORS’ CHECKLIST ............................................................. 68
         Appendix F
                  SUPPORT SERVICES .................................................................................................. 69
         Appendix G
                  RESEARCH DEGREE SUPERVISION AGREEMENT
                     BETWEEN
                     POSTGRADUATE RESEARCH STUDENT AND SUPERVISORS .............. 70




University of New England                                            iii                   Postgraduate Research Degree Handbook
1.0       Introduction

This handbook is the result of a comprehensive review of the policies, practices and
procedures governing Higher Degree Research candidature at the University of New England
(UNE). The Research Doctoral Committee of the Academic Board (the Doctoral Committee)
is the principal body charged with the responsibility for matters pertaining to HDR
candidature. Although that Committee undertakes an annual review of its Terms of Reference,
the Board considered a broader and more comprehensive review was warranted for reasons
that include:

      •    Ensuring compliance with legislation governing UNE’s relationship to international
           students through the Education Services For Overseas Students (ESOS) Act 2001;
      •    Positioning UNE to compete most effectively for HDR students and funding in the
           deregulation of the University research sector which came into effect in 2005;
      •    Identifying and managing inherent risks to the future well-being of UNE, its
           reputation generally and its research reputation specifically;
      •    Ensuring that UNE adopts “best practice”, thereby ensuring the best possible
           experience for student and supervisor;
      •    Managing risk in a manner that affords best protection to the University, supervisors,
           students and the community;
      •    Addressing the expectation for transparency in how UNE delivers its programmes;
      •    Ensuring that UNE has demonstrable means of measuring outcomes relative to the
           Strategic Plan, Research & Research Training Management Report, Research
           Management Plan, and related Faculty plans.




University of New England                        2             Postgraduate Research Degree Handbook
2.0          Glossary

APA          Australian Postgraduate Award

DEST         Commonwealth Department of Education, Science and Training

DHSM         Doctor of Health Service Management

EdD          Doctor of Education

HDR          Higher Degree by Research – includes postgraduate degrees with a research
             component of >66%, e.g. PhD, EdD, DHSM, Masters (Research)

HECS         Higher Education Contribution Scheme

HoS          Head of School/Research Centre/Institute

HREC         Human Research Ethics Committee

IPRS         Endeavour International Postgraduate Research Scholarship

PhD          Doctor of Philosophy

UNE          The University of New England

UNEPA        The University of New England Postgraduate Association

UNERA        The University of New England Postgraduate Research Assistanceship




University of New England                     3            Postgraduate Research Degree Handbook
3.0    Pathways to a Research Degree

3.1    Research Masters

         3.1.1    A Masters Research Degree is a supervised research degree. DEST requires
                  the degree to have a minimum research content, usually by thesis, of 66% of
                  the construction of the degree. Any Masters degree that has less than 66%
                  research component is classified as a coursework Masters.

         3.1.2    UNE currently offers a number of Masters - Research courses. These are
                  listed in Appendix A. Admission requirements and course structure may vary
                  from Faculty to Faculty and course to course. To review details you should
                  visit the course information available from the relevant Faculty web pages or
                  contact the Student Centre on (02) 6773 4444. The Faculty web pages can be
                  accessed from http://www.une.edu.au/faculties/faculty.htm

         3.1.3    Generally, Masters Research students are eligible to apply for postgraduate
                  scholarships (see Section 9.1).

         3.1.4    HECS exemptions may be available to eligible students enrolled in Masters
                  Research degrees if the University is allocated sufficient exemptions by
                  DEST. To date UNE has received sufficient allocation from DEST so that all
                  Masters Research students have received a HECS exemption. DEST has
                  changed the rules for calculating the allocation of HECS exemptions to
                  Universities and UNE may not necessarily receive sufficient exemptions to
                  automatically allocate these to all newly enrolling students. Enquiries
                  regarding HECS should be directed to either the HECS Officer (02 6773
                  3048) or the Research Services Office (02 6773 2398).

3.2    Upgrading from a Masters Research Degree to a Higher Research Degree, e.g. PhD

         Note: The process described below highlights upgrading in terms of a PhD. Other
         higher research degrees generally follow the same path, although there may be slight
         differences. For non-PhD degrees please check with the Research Services Office for
         details of the exact requirements for these courses.

         3.2.1    A student enrolled in a Masters Research degree may apply for admission to
                  the PhD degree.

         3.2.2    To be eligible for consideration by the Doctoral Committee the student must
                  submit a draft of 2 chapters of the thesis or 2 relevant refereed publications in
                  which the student was a significant author, or combination of these, to their
                  principal supervisor for examination. The principal supervisor arranges for 2
                  suitably qualified and experienced academics to examine the submitted work
                  and prepare a brief report for the Doctoral Committee. At least one of the
                  examiners must be external to UNE. Neither of the examiners can have had
                  any direct involvement in the student’s research project. The Doctoral
                  Committee receives the examiners’ reports and a recommendation from the
                  student’s supervisor(s) and HoS and determines whether the application
                  should be approved. An offer of admission may be made with, or without,
                  conditions.




University of New England                        4             Postgraduate Research Degree Handbook
         3.2.3       In essence, the examiners are reporting on two key questions:
                  i)  Does the student exhibit sufficient ability to develop the research to the
                      level required of a HDR candidate; and
                  ii) Does the research project exhibit the necessary characteristics for
                      development into a HDR thesis?

           3.2.3 Inquiries regarding upgrading from a Masters Research degree to a PhD,
                 EdD, DHSM or other higher research degree should be made to the Research
                 Services Office on (02) 6773 2398 in the first instance.

3.3    PhD – 3 year programme

         3.3.1    This is the standard pathway to a PhD for those students with the necessary
                  research qualifications. Completion of the PhD takes approximately 3 years
                  full-time or 6 years part-time.

         3.3.2    The HDR Rules allow for suspension or extension of a student’s candidature.
                  Suspension or extension of candidature is not automatic. An application,
                  specifying the grounds for the request and including an academic timetable
                  for progress towards and submission of the thesis, must be submitted in
                  writing to your supervisors. The recommendation from your supervisors then
                  goes to the HoS for signing and then submission to the Doctoral Committee
                  for consideration. The Doctoral Committee may approve the application with
                  or without conditions.

3.4.   PhD – 4 year programme

         3.4.1    The first year of the 4 year PhD programme is known as the “Foundation
                  Year”. This pathway is intended for students without the required research
                  component in their qualifications or who are considered to require additional
                  research training before immersing themselves fully in their research project
                  (For full details of the Foundation Year see Rule 4 of the PhD Rules in the
                  UNE Handbook).

         3.4.2    The Foundation Year takes one year full-time, or 2 years part-time.

         3.4.3    The minimum level of pass to be attained by the candidate in any unit
                  undertaken during the Doctoral Foundation Year shall be Credit. The
                  minimum level of pass in the research component of the Doctoral Foundation
                  year shall be Distinction. The overall average of all components undertaken
                  in the Doctoral Foundation year must be a minimum of Distinction.
                  (a) A candidate who meets the minimum pass requirements for all
                       components of the Doctoral Foundation year shall be permitted to
                       progress to candidature in the three-year PhD program.
                  (b) If a candidate's principal supervisor or the relevant Head of
                       School/Centre/Institute submits a report of unsatisfactory progress to the
                       Committee, or if the candidate fails to satisfactorily complete prescribed
                       coursework, the Committee shall invite the candidate to show cause why
                       the candidature should not be terminated. If the candidate does not
                       respond to the invitation by the stated date or the candidate's response is
                       deemed unsatisfactory by the Committee, the Committee shall terminate
                       the candidature. (PhD Rule 4).

         3.4.4    Where the Doctoral Committee does not approve a student upgrading from
                  the Foundation Year to the PhD, the student may, depending on the results




University of New England                        5             Postgraduate Research Degree Handbook
                  obtained, gain credit towards a Masters programme or a Graduate Diploma,
                  or be withdrawn.

         3.4.5    Generally, students in the Foundation Year are ineligible for postgraduate
                  scholarships. Once a student has successfully completed the Foundation Year
                  they are then able to apply for postgraduate scholarships (see Section 10.1 for
                  further information).

         3.4.6    A HECS exemption may be available to eligible students enrolled in Masters
                  Research degrees if the University is allocated sufficient exemptions by
                  DEST (DEST currently refers to a HECS-exemption as “a HDR scholarship
                  without stipend”) (see Section 3.1.4 for further information).

         3.4.7    The rules and processes for other HDR degrees are similar to those for the
                  PhD.

3.5    Probationary Candidature

         3.5.1    In some cases, an offer of admission to PhD candidature is made
                  probationary, for a period not normally exceeding 12 months from the date of
                  entry. This is usually done because the Doctoral Committee is not wholly
                  satisfied that a candidate holds qualifications and/or experience equivalent to
                  the usual standard required for entry to PhD candidature.

         3.5.2    Admission to probationary candidature puts the candidate on notice that his
                  or her work is under periodic review during the probationary period. After
                  the period expires, the Committee can either confirm the candidate's status, or
                  terminate the candidature. Before the latter step is taken, the candidate
                  concerned would be given an opportunity to show cause why this should not
                  be done.

         3.5.3.   There is a form of probationary candidature relevant to the EdD. This is
                  called the Qualifying EdD year. Normally the qualifying year is used to
                  ascertain if the student has the potential for doctoral research by undertaking
                  a research project and if necessary a Masters research methods unit.

4.0    Commencing Students: Roles and responsibilities of Students and Supervisors

4.1    First contact

         4.1.1    Prospective students can source information about relevant degrees from the
                  appropriate UNE School web pages or by contacting the relevant Head of
                  School. An application form can be obtained from the Research Services
                  web pages. Details on the application process can be obtained by contacting
                  the staff in Research Services.

         4.1.2    A student who receives a letter of offer from the University will be required
                  to do a number of things, the most important of which is to notify the
                  University of the acceptance of the offer and enrol, following the instructions
                  in the letter and attached information package.

         4.1.3    The next action for a student is to make contact with your nominated
                  principal supervisor and arrange a suitable time to go through the “Student /
                  Supervisor Checklist” (see Appendix E) and complete the “Agreement
                  Between Postgraduate Research Student and Supervisors” (Appendix G). The
                  student and supervisor need to sign the forms and each should keep a copy.



University of New England                       6             Postgraduate Research Degree Handbook
                  The originals should be forwarded to the Research Services Office for
                  keeping with the relevant student’s file.

4.2    Student / Supervisor – Record of Meetings

         4.2.1    Once a student commences candidature it is important that both the student
                  and supervisor keep to the contact arrangements as agreed upon in the
                  original meeting. If change to the arrangement occurs a record should be kept
                  and both the student and supervisor should have a copy of the same
                  information. The same should occur in relation to notes being kept of any
                  other matters of relevance discussed at a student / supervisor meeting.

4.3    Students with English as a Second Language

         4.3.1    If English is a second language for a research student this may cause some
                  difficulties, especially at the commencement of candidature. If students are
                  experiencing difficulties these should be discussed between the student and
                  principal supervisor, to explore available sources of support.

         4.3.2    One resource is the Language Training Centre, where structured programmes
                  are available to assist a student become immersed in the Australian version of
                  English. Other assistance can be obtained through the Academic Skills Office
                  or the Dixson Library. The International Office is also another source of
                  information and assistance.

         4.3.3    Contact information for support services is provided in Appendix F.

5.0    Student Roles and Responsibilities

5.1    General

         5.1.1       As a student you have certain responsibilities. For example, when you sign
         the enrolment form you are signing an agreement to be bound by the rules,
         regulations, policies, etc. of the University. The following are some of the regular
         items that you are responsible for:

              •   Notifying the Research Services Office of any change in contact details. If
                  you don’t let us know where you can be contacted then we can’t keep in
                  contact.

              •   Being responsive when sending in progress report forms and re-enrolment
                  forms. The Doctoral Committee has adopted a process that those students
                  who can’t send the required information, even after reminders and follow-ups
                  by Research Services staff, will be terminated. This will require you to make
                  a re-application for admission and pay a late enrolment administration fee
                  (currently $100).

5.2    Enrolment in Coursework Units

      5.2.1       You may agree with your supervisors to attend, informally, lectures or other
                  formal tuition in an advanced unit (or units) of coursework, usually in the
                  first year of PhD candidature. If your supervisors agree, all that is necessary
                  is the permission of the coordinator of the unit concerned, the agreement of
                  the Head of the School concerned, and the agreement of the Research
                  Doctoral Committee.




University of New England                       7             Postgraduate Research Degree Handbook
      5.2.2       Sometimes, as in the case of 4-year PhD candidates or EdD Qualifying
                  program, more is required in the way of formal enrolment in an advanced
                  level unit or units. There are currently two ways of doing this:

                  (i)    Where a unit is taken as part of the conditions of PhD candidature
                         towards fulfilment of the requirements for the degree, the
                         candidate undertakes to complete all of the assessment
                         requirements of the unit. Note that overall failure in a unit or
                         units may lead to a judgement that satisfactory progress is not
                         being made and the candidate may be subsequently invited to
                         show cause why candidature should not be terminated.

                  (ii)   The candidate may enrol in the unit (or units) as "non-degree"
                         courses. In some cases, a supplementary fee set by the University
                         might need to be paid at enrolment. After examination, the unit
                         (or units) are recorded as non-degree units on the candidate's
                         academic record.

      5.2.3       If either case applies to you, you must ensure that any formal enrolment as
                  above is agreed between yourself and your supervisors, and write a letter to
                  the Doctoral Committee, with the usual written agreements of your principal
                  supervisor and Head of School. The letter must state whether the units
                  will be part of the conditions of candidature. You must also complete an
                  enrolment form with all unit details as required.

5.3              Studying Another Degree Concurrently with a Research Degree

      5.3.1       Generally approval will not be given for a student to concurrently enrol in
                  another degree during their HDR candidature. This applies equally to
                  concurrent degrees either at UNE or another institution.

      5.3.2       There have been rare exceptions to the rule. Should a person wish to make a
                  case for concurrent enrolment then a written application to the Head of
                  School (in the case of Research Masters students) or the Doctoral Committee
                  (in the case of all other higher research degrees) is required.

      5.3.3       If a student considers they have a valid reason for applying for concurrent
                  enrolment the most appropriate first step is to discuss the matter with either
                  the Course Co-ordinator in your School/ Faculty/Centre or the Postgraduate
                  Degrees & Scholarships Officer in the Research Services Office.

5.4    Seminar

      5.4.1       It is a usual requirement of a research degree that the student presents a
                  seminar on their project to the members of the School / Centre in which they
                  are enrolled.

      5.4.2       The seminar presentation is most often made during the first year of
                  candidature in the case of fulltime students, or in the second year in the case
                  of part-time students.

5.5      Progress Reports

         5.5.1   Schools / centres formally monitor the progress of their students. This
                 generally occurs every 6 months of candidature. This formal process does not




University of New England                        8            Postgraduate Research Degree Handbook
                  mean that students and supervisors should not otherwise be in regular contact
                  or wait until the report is prepared before raising issues with each other.

         5.5.2   The 6-monthly / annual report provides an opportunity to formally record
                 progress and any issues or concerns that have, or may, affect or impede
                 submission of a completed thesis by the required date. Ultimately the
                 completed reports are kept on the relevant student file.

         5.5.3   Where inadequate progress has occurred the supervisor and Head of School
                 may recommend to the relevant Committee that a student be requested to
                 “show cause” why their candidature should not be terminated. The main
                 reasons for a “show cause” letter being issued are the lack of response from a
                 student in relation to submission of progress and re-enrolment forms to their
                 supervisors, or lack of evidence of adequate progress.

5.6    Studying as an Internal Student

         5.6.1    As an internal student you have direct access to a variety of support services
                  and information. Some Schools have compulsory attendance at certain
                  meetings or training sessions. In other cases these may be discretionary.
                  Students should discuss these matters with their principal supervisor as part
                  of their orientation. See also appended to this document Minimum Facilities
                  (Appendix D) and Support Services (Appendix F).

5.7    Studying as an External Student

         5.7.1    Studying as an external student has its own challenges, not least of which is
                  the distance between a student and their supervisors. Students need to keep in
                  mind the pressures on time and inevitable pressures on family and
                  relationships when studying from home. The University tries to ensure that
                  all information on its web pages is kept up to date and is readily accessible. In
                  addition there is the telephone and e-mail with which students can keep in
                  contact with their supervisors. Please remember it is as much the
                  responsibility of a student to maintain regular contact with the University as it
                  is for the University to contact you.

         5.7.2    Attendance at residential schools varies from course to course and School to
                  School. In the case of the Science Faculty, for example, any student who is
                  going to use laboratories is required to attend a compulsory training course to
                  obtain the appropriate accreditation before they are permitted to enter a
                  laboratory. On the other hand, most PhD students are free to negotiate
                  appropriate periods of attendance with their supervisors.            It is the
                  responsibility of students to check if units have compulsory or mandatory
                  requirements to attend a residential school.

5.8    Change of Mode/Status of Study

      5.8.1       During your candidature it is possible for you to change your mode / status of
                  study. This relates to:
                  (a) Changing from internal to external candidature or vice versa,
                      or
                  (b) Changing from full-time candidature to part-time, or vice
                      versa.




University of New England                        9             Postgraduate Research Degree Handbook
       5.8.2      In either case, you must notify the Secretary of the Research Doctoral
                  Committee in writing, and obtain the written endorsements of your principal
                  supervisor and the Head of School in support of your application.

5.9    Change in Thesis Title / Research Topic

         5.9.1    To change a thesis title a student needs to obtain the supervisors' written
                  approval and forward the written notice to the Research Services Office for
                  the central University records. Approval from the Doctoral Committee is not
                  required.

         5.9.2    If a change of direction of research topic has the approval of a student’s
                  supervisors and Head of School, and does not require either a change of
                  supervision arrangements or makes it unlikely there will be a subsequent
                  application for an extension of period of candidature, then approval from the
                  Doctoral Committee is not required.

         5.9.3    If, however, there is a substantial change in the direction of the research,
                  and/or a change of supervisor is necessary and/or the proposed change will
                  probably lead to a subsequent application for an extension of the period of
                  candidature - then the Doctoral Committee's permission is required. In this
                  case, a student must write an explanatory letter and have it endorsed by their
                  principal supervisor and Head of School before submitting it to the
                  Committee.

5.10     Fieldwork or Research Overseas

         5.10.1 In the course of their studies, candidates sometimes spend a period (or
                periods) of time away from their usual place of residence/study, in pursuit of
                their research. No firm guidelines can be laid down across diverse disciplines
                for minimum periods of fieldwork or research overseas.

         5.10.2 There are certain requirements that must be met for a person to be able to
                study overseas under the University’s insurance requirements. Arrangements
                for travel are dealt with through Faculty / School / Centres and students
                should seek assistance from their principal supervisor in ensuring the correct
                procedures are followed.

                  Note for students on scholarship: nearly all scholarships relate to full-time
                  internal study. Be careful to check with your principal supervisor and Head
                  of School as well as with the Scholarships Officer, Research Services Office
                  to ensure that your proposed change does not contradict the conditions of the
                  scholarship. In most cases it is possible to arrange for you to retain your
                  scholarship while you are absent on field work.




University of New England                      10            Postgraduate Research Degree Handbook
5.11 Research Involving Humans or Animals

         5.11.1 Students must obtain approval from the appropriate University ethics
                committee before starting research involving humans or animals. Both these
                areas are covered by strict legislation with substantial penalties for failure to
                comply. Research involving humans requires Human Research Ethics
                Committee (HREC) approval and research involving animals requires Animal
                Ethics Committee (AEC) approval before the commencement of the research.
                It is important that the student and supervisors discuss the need for ethics
                approval as early as possible.

         5.11.2 Further information can be obtained from the following web page
                http://www.une.edu.au/research-services/ethics/index.html,      or   by
                contacting the Research Ethics Officer, Research Services Office (Phone:
                (02) 6773 3449).

6.0    Supervision

6.1    Appointment of Supervisors

         6.1.1    Principal Supervisor. Identification of the Principal Supervisor (PS) occurs
                  when a potential postgraduate research student applies for admission to the
                  research degree program. The student is accepted only if an appropriate PS
                  can be provided. The prospective PS is consulted during the assessment of
                  the application. Visiting, Adjunct and Honorary appointees may act as
                  Principal Supervisor provided that continuity of availability can be assured.

         6.1.2    Co-supervisor(s). Identification of appropriate co-supervisors occurs during
                  the application process. The PhD rules require all students to have at least one
                  Co-supervisor from day one. Co-supervisors external to UNE are appointed
                  in an honorary capacity.

         6.1.3    Appointment of supervisors is the prerogative of the relevant Head of School,
                  Centre or Institute where the student will be enrolled. Students may express a
                  desire for or suggest certain supervisors for consideration. The HoS is
                  responsible for balancing the available resources, including academic
                  workloads, with the research direction of the student.

         6.1.4    Sometimes a pro tem supervisor(s) is appointed. This is usually the case in
                  the EdD program. Pro tem supervisors are appointed so that the student can
                  clarify the direction of research/research questions. Quite often pro tem
                  supervisors become supervisors.

6.2    Change of Supervision

         6.2.1    There are a number of reasons why supervision may change during HDR
                  candidature. These include: resignation or retirement of a supervisor or a
                  supervisor going on extended leave, e.g. study leave. In cases where there is a
                  change of supervision due to these circumstances the University will attempt
                  to provide you with an alternative supervisor from within UNE. It may not
                  always be possible to do so, in which case the University can attempt to
                  utilise the services of a suitably qualified person from another institution or it
                  can assist you in changing candidature to another university.

         6.2.2    Sometimes a student will desire a change of supervision. In these cases it is
                  usual to discuss this with your Principal Supervisor in the first instance. If


University of New England                        11             Postgraduate Research Degree Handbook
                  there is a reason why this cannot be then you should discuss your desire for
                  change with your HoS or sometimes the relevant Course Co-ordinator. Please
                  bear in mind that while UNE will try to accommodate your wishes, this is not
                  always possible e.g. the supervisor you desire to work with has too many
                  existing commitments. The prerogative for allocation of supervision remains
                  with UNE.

6.3    General Role of Supervisors

         6.3.1    The University has adopted a policy titled "Quality and Standards in
                  Research Higher Degrees" (see Appendix B). The Policy outlines the
                  responsibilities of all parties concerned in your candidature and is
                  recommended reading for students and supervisors.

         6.3.2    It is the responsibility of the Head of your School to ensure that supervision is
                  available for a student from the moment that candidature commences. It is
                  also the responsibility of the Head of the School to ensure that appropriate
                  replacement supervisors are appointed, and verified by the Doctoral
                  Committee. The Research Services Office will confirm changes of supervision
                  with the Head of School, the supervisors and the student.

         6.3.3    The Research Doctoral Committee appoints at least two supervisors for each
                  PhD candidate (unless the co-supervision policy is waived in specific
                  instances). The principal supervisor must be a member of an academic School
                  of the University, wherever possible, and has the prime responsibility of
                  ensuring the candidate makes satisfactory progress. The co-supervisor may be
                  a member of the same or a different School, with similar or overlapping
                  research interests.

         6.3.4    There are circumstances where a principal supervisor may be a person
                  external to UNE. This usually occurs when the most appropriate person with
                  the expertise to supervise a particular research project is unavailable and no
                  other appropriate supervision is available at UNE. Students and supervisors
                  may suggest appropriate supervisors in these circumstances. The final
                  decision remains with the Head of School.

         6.3.5    A co-supervisor may also be a person external to the University. In the case
                  of a candidate studying away from the campus a supervisor may be appointed
                  who is resident at, or near the place of that candidate's study. Such an external
                  supervisor will have expertise in the field of research or some part of it and
                  usually will have a higher degree. If there is someone who you feel should be
                  a supervisor of your work, discuss the idea initially with your principal
                  supervisor.

         6.3.6    For more details of the roles of supervisors please refer to the section on
                  “Responsibilities” in the document Quality and Standards in Research
                  Higher Degrees, attached at Appendix B.

         6.3.7    The PhD rules make allowance for Adjuncts to be appointed as
                  supervisors (see rules 5(i), (ii), and (iii)) and, if an Adjunct or
                  Honorary fellow or Associate is to be a principal supervisor, then they
                  must sign the Principal Supervisor Agreement form. In all other
                  respects, Adjuncts, Honorary Fellows and Associates act in accordance
                  with all policies related to supervisors and as directed by the relevant
                  Head of School or Research Centre.



University of New England                       12             Postgraduate Research Degree Handbook
7.0    Changes to Candidature

7.1    General

         7.1.1    There may be times when matters arise that require you to consider changing
                  your candidature. The options available include suspending or extending your
                  period of candidature or withdrawing from your candidature.

         7.1.2.   Since funding to the University is dependent upon timely completion i.e.
                  within the period of candidature, it is important that supervisors and students
                  work together to ensure the student completes within the initial period of
                  candidature.

7.2    Withdrawal from Candidature

         7.2.1    Withdrawal means voluntarily terminating your candidature. This may seem
                  like the only solution to dealing with a particular situation in which you find
                  yourself during your degree.

         7.2.2    Withdrawal is a drastic step but in some cases may be necessary. There is an
                  alternative – suspending your candidature. Taking a suspension is a less
                  drastic alternative for taking time away from your study, providing you with
                  the opportunity to deal with other matters while leaving the option available
                  for you to return to your research project.

7.3    Suspension of Candidature

         7.3.1    Taking a suspension means putting your candidature on hold for a period of
                  time (up to 12 months).

         7.3.2    Taking a suspension requires you to submit an application to the Research
                  Services Office indicating the starting and finishing dates of your suspension
                  and including a brief explanation of why you are seeking the suspension.
                  There is a standard form available for downloading from the Research
                  Services web page at http://www.une.edu.au/research-services/rsforms.html
                  or you can write your own letter and submit it.

         7.3.3    When an application for suspension is received it will be forwarded to your
                  supervisors and HoS for consideration and recommendation.

         7.3.4    The maximum period of suspension permissible is usually 12 months in total
                  during candidature. The Doctoral Committee can approve periods in excess
                  of 12 months, subject to the circumstances of the case and taking into account
                  the recommendation of the supervisors and HoS.

         7.3.5    Applications for suspensions are not automatic. If you are considering taking
                  a suspension, or withdrawing, you should discuss this with your supervisors
                  first. While the timing and length of suspension being requested is important
                  for you, there are other matters which must be taken into consideration. For
                  example, your supervisors may not be available to supervise you when you
                  return due to other commitments they may have. This may result in other
                  supervisors having to be allocated to you (see Section 6 – Supervision).




University of New England                       13            Postgraduate Research Degree Handbook
7.4    Extension of Candidature

         7.4.1    As you near the end of your candidature you may feel you are going to need
                  more time than is currently available for you to finish writing your thesis. In
                  these circumstances you may need to consider applying for an extension of
                  time. Applications for extension of candidature must be accompanied with
                  an academic timetable for completion of the thesis. Requests for extensions
                  will not necessarily be approved.

         7.4.2    Requesting an extension of time requires you to submit an application to the
                  Research Services Office indicating the anticipated submission date of your
                  thesis and including a strong justification outlining why you are seeking the
                  extension. There is a standard form available for downloading from the
                  Research Services web page at http://www.une.edu.au/research-
                  services/rsforms.html, or you can write your own letter and submit it.

         7.4.3    When an application for extension is received it will be forwarded to your
                  supervisors and HoS for consideration and recommendation.

         7.4.4    The maximum period of extension permissible is 12 months. The Doctoral
                  Committee can approve periods in excess of 12 months, subject to the
                  circumstances of the case and taking into account the recommendation of the
                  supervisors and HoS.

         7.4.5    Please note that the Doctoral Committee will be looking for clear explanation
                  that the requested extension of time is realistic and is likely to lead to
                  submission of a completed thesis at the end of that time.

         7.4.6    Applications for extensions of time are not automatic. If you are considering
                  requesting an extension of time, you should discuss this with your supervisors
                  first. While the extension of time being requested is important for you, there
                  are other matters which must be taken into consideration. For example, are
                  your supervisors available to supervise you for the entire period requested
                  due to other commitments they may have? This may result in other
                  supervisors having to be allocated to you (see Section 6 – Supervision).




University of New England                       14            Postgraduate Research Degree Handbook
8.0    Intellectual Property

8.1    Definitions

         8.1.1    “Intellectual Property” (IP) means any copyright including future copyright,
                  registered or pending patent or patentable invention, registered or
                  unregistered trademark, confidential information, trade secret, know-how,
                  registered or registrable design, plant variety right, rights in relation to any of
                  the foregoing, rights in relation to any circuit layout or other rights resulting
                  from intellectual activity in the industrial, scientific, literary or artistic fields
                  and all other intellectual property as defined in Article 2 of the convention of
                  1967 establishing the World Intellectual Property Organisation.

         8.1.2    “Background IP” means any proprietary knowledge or information that has
                  previously been created and will be applied to a research project, including a
                  thesis or dissertation.

         8.1.3    The University’s current Policy on Intellectual Property is available at:
                  www.une.edu.au/rmo/policies/res/intellprop.pdf.

8.2    Background IP – Postgraduate Research Students

         8.2.1    The Principal Supervisor and postgraduate student will need to clarify any
                  ownership of background IP at the start of candidature. Such clarification is
                  required to be recorded in writing on the University’s Intellectual Property
                  Form, signed by both the student and Principal Supervisor and submitted to
                  the University’s Intellectual Property Officer (Pro Vice-Chancellor (Research
                  and Development)) for recording in the University’s Intellectual Property
                  Register. The form is available on the research services web page at
                  http://www.une.edu.au/research-services/rsforms.html

         8.2.2    Background IP may refer to work produced by the student, the University, or
                  a third party (eg industry partner).

         8.2.3    It should be made clear to students what the nature of the work is before they
                  undertake an activity that leads to claimable IP.

         8.2.4    Any confidentiality and ownership of IP agreement should only be signed by
                  students after they have been first advised to obtain independent legal advice.

         8.2.5    Any delays in publication of a thesis that arises from a confidentiality
                  agreement should be limited to a maximum of two years.

8.3    Intellectual Property

         8.3.1    As a project progresses the development of ideas and input from various
                  sources may cause the allocation of intellectual property to change. This can
                  be direct, e.g. contractual or verbal, or incidental through contribution or
                  action of a person other than the research student, e.g. a supervisor, mentor or
                  other associate.

         8.3.2    Students will be asked to review the allocation of their IP with their progress
                  reports. This provides an opportunity to reflect on what changes to IP
                  allocation / ownership may have occurred. Where changes to IP allocation /
                  ownership has occurred outside the progress report period students should




University of New England                         15             Postgraduate Research Degree Handbook
                  update their registration by notification to the Research Services Office at the
                  earliest opportunity.

8.4    Review of Intellectual Property With 6-monthly and Annual Reports

         8.4.1    Each 6 months you will be asked to review the allocation of your intellectual
                  property as part of the progress reporting process. You should discuss any
                  possible change with your Principal Supervisor and complete the form as
                  agreed (see section 8.2.1 for the web link to the form).

9.0    Publication

         9.1      Students who publish whilst enrolled at UNE contribute to the UNE research
                  performance which is recognised by DEST in terms of additional funding to
                  UNE. If the student publishes subsequent to completion of their research at
                  UNE, they should advise their supervisor so that the publication can be
                  included in DEST publication reports. Such publications must indicate
                  affiliation with UNE.

         9.2      In the case of postgraduate research students, the Principal Supervisor must
                  discuss the publications and authorship provision of the University’s Code of
                  Conduct for Research with the students as part of their induction (the Code is
                  available at http://www.une.edu.au/research-services/phd.html).

         9.3      University staff and postgraduate research students will publish and attribute
                  the contribution of all participants in accordance with the provisions of that
                  Code and Policy referred to in Section 9.1 above. Particular attention should
                  be paid to the provisions requiring submission of the “Statement of
                  Authorship” and “Location of Data” forms.

         9.4      Attribution or assignment of principal authorship is to be determined by
                  negotiation on each occasion as described in the Code. It is the responsibility
                  of the most senior researcher in the case of negotiation between University
                  staff or the Principal Supervisor, in the case of a postgraduate research
                  student, to ensure the provisions of the Code and Policy are acted upon.

         9.5      Permission to publish research results where there is joint Intellectual
                  Property ownership requires the consent of all parties to the IP Agreement.

         9.6      Where a dispute arises such may be referred and dealt with in accordance
                  with the Dispute Resolution provisions referred to in Section 11 of this
                  handbook.




University of New England                       16             Postgraduate Research Degree Handbook
10.0 Student Support

10.1 Scholarships

         10.1.1 A variety of funding support is available for HDR students. Most funding is
                competitive. Funding may be from UNE, government, industry or individual
                sources. The types of funding available includes tuition fees, living expenses,
                conference attendance, short-term attachment to another organisation,
                research support, and so on.

         10.1.2 Some funding opportunities are open to all HDR students. Others may have
                very specific limitation, such as disciplinary specific or needs based. It is
                important to prepare a focussed, concise and legible application that
                addresses the selection criteria and includes the necessary signatures and
                attachments. Assistance can be obtained from the Postgraduate Scholarships
                Officer on (02) 6773 3571 or by e-mailing aharris@une.edu.au.

         10.1.3 Information on available scholarships can be obtained from
                http://www.une.edu.au/research-services/schol.html or by contacting the
                Postgraduate Scholarships Officer on (02) 6773 3571.

         10.1.4 Your School / Centre / Institution may be aware of, or can provide access to,
                other scholarship opportunities. Inquiries in this regard should be made to
                your Principal Supervisor or Postgraduate Co-ordinator (if there is a
                designated person in your area).

         10.1.5 Research degree students holding a full-time Australian Postgraduate Award
                (APA) are required to work on their research project and complete within the
                allocated period, and are only permitted to undertake a limited amount of
                paid employment which must not interfere with the student's study and
                progress. Full-time APA holders are expected to devote a minimum of 35
                hours per week to their study. Students engaging in other activities such as
                paid employment must not compromise the average weekly amount of time
                they devote to their research project. Award holders must seek approval of
                the Responsible Academic Officer (RAO) in their Faculty or Institute prior to
                engaging in part-time work in excess of 8 hours per week. The RAO's
                decision will take the Supervisor/s' recommendation into consideration.
                Details of paid employment or other activities, which temporarily interfere
                with the capacity to devote 35 hours per week to the research project, must be
                recorded in the student's progress report.

10.2 Minimum Facilities for Postgraduate Research Students

         10.2.1 The University has an adopted policy describing the minimum facilities to be
                provided for postgraduate research students (Appendix D). Facilities and
                support are provided for both internal and external students.

         10.2.2 The financial support is provided pro rata, i.e. part-time students receive
                financial support at half the rate of full-time students.

         10.2.3 Please note that there may be Faculties / Schools / Centres / Institutes that
                provide funding and other support in excess of the minimum. That is a
                strategic decision of that area.




University of New England                     17             Postgraduate Research Degree Handbook
10.3 Library Resources

         10.3.1 The Dixson Library, and associated libraries at UNE, provide a large resource
                of material and assistance for postgraduate research students. The Library has
                licences for a number of major, on-line search engines that enable students
                access to journals and other resource material.

         10.3.2 In addition, the library conducts training and orientation courses in the use of
                search engines, End Note and other valuable research tools. Information on
                the library resources can be obtained from http://www.une.edu.au/library/

         10.3.3 Additional research funding has been provided to enable free document
                delivery. Please contact the library for further details.

10.4 Academic Skills Office

         10.4.1     Information on the learning support provided for UNE students, designed
                    for inclusion in unit outlines and study guides, is available in PDF format
                    and as a word document from http://www.une.edu.au/tlc/aso/about.htm

         10.4.2     This information outlines support for students in areas such as essay and
                    report writing, research skills, and study and exam techniques. It also tells
                    students how they can sign up for workshops, make appointments for
                    individual consultations with ASO staff and access a range of free study
                    skills materials. Inclusion of this information in study guides/unit outlines
                    is an excellent way to let students know of the opportunities available to
                    improve their academic skills.

10.5 International Office

         Potential international students should contact the International Office in the first
         instance for advice, initial enrolment information and application forms.

         10.5.1     The University provides dedicated staff within the International Office who
                    are familiar with issues that relate to international students. The
                    International Office co-ordinates the application process for all
                    international students.

         10.5.2     International students can receive support and assistance in areas such as:
                    • Accommodation;
                    • Participation in an orientation program tailored specifically for
                        international students;
                    • Advice and assistance regarding visa extensions, permission to work
                        visas, part-time work, enrolment for school age dependants and general
                        welfare.

11.0 Dispute Resolution

         11.1       Relationships between students and supervisors can vary widely and there
                    may be times during candidature when things are not going as smoothly
                    between the student and supervisor as they would like. Undertaking a
                    research degree is not easy and there are times, such as during the final
                    writing up of a thesis, where the pressure on the student/supervisor
                    relationship may be at its greatest. These times may cause such stress that a
                    student contemplates withdrawing from their thesis rather than continuing.



University of New England                       18            Postgraduate Research Degree Handbook
                    Please be mindful that there are many sources of assistance available that
                    can help overcome such problems.

         11.2       In the first case it is suggested that students and supervisors try to discuss
                    their issues and come to an agreed solution. If this is not a valid option or
                    does not produce the desired result there are a number of sources of
                    assistance listed in Appendix F that students or supervisors can contact.
                    Most of the issues students and supervisors encounter have already been
                    dealt with by the people in the support service areas, usually with positive
                    outcomes.

         11.3       If there is a need, students and supervisors can avail themselves of the
                    University’s formal grievance procedures. Details on the procedures for
                    “Grievances Related to Candidature” are listed in Section 7 of the
                    document Quality and Standards in Research Higher Degrees, a copy of
                    which is included at Appendix B.

         11.4       A dispute may arise when either a student or supervisor calls into question
                    the work undertaken by another student or supervisor. Where the dispute
                    relates to research activities then the “Research Misconduct” provisions of
                    Section 4 of the Code of Conduct for Research should be followed. A copy
                    of the Code is included in Appendix C.

12.0 Preparation and Distribution of Theses/Portfolios

         Note: The following section refers to the requirements for higher research degrees,
         other than Research Masters. The procedures for submission of Research Masters
         degrees may vary slightly and specific requirements should be obtained from your
         principal supervisor.

12.1     General

         12.1.1     The work submitted for examination must embody the results of a student’s
                    completed research project and the eventual success depends on the
                    examination of this thesis. The thesis may also contain properly
                    acknowledged supporting papers of which the candidate is the sole or joint
                    author - in the latter case, the extent of your work as a percentage
                    proportion of the whole, must be clearly indicated.

         12.1.2     This booklet does not attempt to tell you how to write up your research.
                    There are a number of publications available that you may find helpful in
                    the University Library and/or your supervisors should be able to help you.
                    One fairly obvious tip is to examine copies of successful theses/portfolios
                    that have been lodged in your School collection, Dixson Library or that are
                    kept by your supervisor. The Academic Skills Office also has books and
                    resources on thesis writing available for loan.

         12.1.3     General resource material for students is available from the University's
                    Teaching and Learning Centre at http://www.une.edu.au/tlc/. Please be
                    mindful that there are discipline specific requirements in relation to style,
                    referencing and the like. Students and supervisors should discuss
                    formatting matters to confirm the exact requirements as early as possible.

         12.1.4     A PhD thesis must not exceed 100,000 words in length unless it is on a
                    scientific subject in which case, generally speaking, it should not exceed




University of New England                       19             Postgraduate Research Degree Handbook
                    50,000 words. These word length limits do not include appendices, the
                    index, etc. The EdD thesis should not exceed 75,000 words.

         12.1.5     Four examiners' copies of the work must be lodged with the Secretary
                    of the Doctoral Committee - three soft-bound and one unbound. Soft-
                    bound copies are not returned to the candidate (see Section 12.8.3
                    below). The unbound copy eventually becomes the official University copy
                    which is bound, catalogued and stored by Dixson Library (for further
                    information regarding this process contact Dixson Library, on (02) 6773
                    3750)

         12.1.6     The Research Doctoral Committee has ruled that the thesis/portfolio must
                    be submitted in a printed format and can not be submitted electronically,
                    i.e. on disk, CD ROM, or other computer-based technology. However,
                    additional copies or supporting material, where appropriate, can be
                    submitted in an electronic format. Please discuss this issue with the
                    Secretary of the Committee if you require specific advice.

         12.1.7     The thesis/portfolio should be clearly typewritten on one or both sides of
                    A4 size paper; reproduction on both sides of the paper is permissible,
                    provided the paper is sufficiently opaque to prevent written material on the
                    other side interfering with the overall legibility.

         12.1.8     The spacing between lines should be either one and a half spaces, or double
                    spaced. There should be a margin of at least 30mm (1¼") on the left hand
                    side of the page and margins of at least 13mm (½") on the other sides.

         12.1.9     Attachments (such as maps) should be either securely attached to the body
                    of the thesis or submitted separately in a strong enclosure. Technical
                    advice on problems such as this should be obtained in good time from such
                    sources as the UNE Printery/Bindery (Phone: (02) 6773 3036) and/or
                    Marketing and Public Affairs (Phone: (02) 6773 3770).

         12.1.10    In the most exceptional cases, eg when the reproduction of material
                    presents insurmountable difficulties, or when a different size of paper is
                    necessary, the Research Doctoral Committee's Secretary should be
                    approached for advice. Where such a submission involves a waiver of the
                    thesis presentation Rules by the Academic Board and University Council, a
                    significant delay in the examination of the thesis could occur.

         12.1.11    Soft-bound copies of theses must adhere to the following specification as
                    the minimum acceptable standard (the University bindery will
                    automatically bind a thesis to the correct specifications):

         12.1.12    A sheet of cover stock no less than 230 g.s.m., front and back: pages
                    knocked level and glued, "stab bound" (eg, drilled and hand sewn): a strip
                    of bookcloth with approximately 2cm. overlap pasted on the spine:
                    trimmed when dry.

                    Theses less than 2.5cm thick may be stapled instead of being "stab bound".

                    Soft bound theses which do not meet these standards may be rejected.




University of New England                      20            Postgraduate Research Degree Handbook
12.2 Presentation Order of Thesis Items

         12.2.1     The thesis contents should be presented in the following order: titlepage,
                    acknowledgements, abstract, certification, table of contents, chapters,
                    references and appendices.

         12.2.2     Each copy of the thesis must contain the abstract or summary: It is
                    suggested that the abstract should be preferably not more than 350 words in
                    length, as this is the maximum length of the summary required for
                    microfilm abstracts.

12.3 Use of the Work of Others

         12.3.1     You must state generally in your preface, and specifically in notes in the
                    thesis itself, the sources from which the information given is derived (as
                    precisely as possible), the extent to which the work of others has been used,
                    and the portion of the work claimed as original.

         12.3.2     Work which has been presented for a degree or other qualification at this or
                    another University or similar institution may not be presented as the thesis
                    but may be included in the thesis, provided that it is clearly indicated as
                    such.

         12.3.3     Good scholarship necessarily requires building on and incorporating the
                    work of others. This use must be appropriately acknowledged. Whenever
                    you employ the thoughts, words, drawings, designs, statistical data,
                    computer programs, performances or other creative works of others, either
                    by direct quotation, by paraphrasing or by the use of another's ideas, you
                    must clearly identify the author and the source through the use of proper
                    referencing. Failure to acknowledge sources appropriately constitutes
                    plagiarism and may attract significant penalties such as failure in the unit or
                    exclusion from the University. Further information on the University’s
                    policy on plagiarism can be obtained from the following web page:
                    http://www.une.edu.au/rmo/policies/acad/avoidplagiarism.pdf

12.4 Title Page

         12.4.1     The title page must show:

                    •   The title of the thesis
                    •   The full name of the candidate together with prior degrees and
                        other qualifications, and their awarding institutions.
                    •   The following statement:
                            A thesis submitted for the degree of Doctor of Philosophy
                            of the University of New England.
                    •   The month and year of submission


                   NB :     A candidate who submits a revised thesis must show
                   the month and year of submission of the original version. (It
                   is probably less confusing to show both the date of original
                   submission and that of the revised version's submission).




University of New England                       21             Postgraduate Research Degree Handbook
12.5 Candidate's Certification

       12.5.1 In each copy of the thesis you are required to insert and sign the following
              certificate which must preface the thesis:

                 I certify that the substance of this thesis has not already been
                 submitted for any degree and is not currently being submitted
                 for any other degree or qualification.

                 I certify that any help received in preparing this thesis, and all
                 sources used, have been acknowledged in this thesis.

                 ...........................................................
                                    Signature

12.6     Head of School and Principal Supervisor's Certification

         12.6.1 In order for your thesis copies to be accepted by the Research Services
                Office, they must be accompanied by a written and signed statement from
                your Head of School and Principal supervisor that your thesis is ready for
                examination. Failure to provide this certificate will result in automatic
                rejection of the thesis.

12.7     Confidential Recommendation of Examiners by Head of School

         12.7.1 PhD students should note that, unless the confidential recommendation of
                 examiners by your Head of School discussed below is received by the
                 Research Services Office before your thesis/portfolio is submitted, the
                 Research Services Office will not accept it other than in exceptional
                 circumstances.

12.8     Distribution of the Thesis

         12.8.1 Students must submit three soft-bound examiners' copies and one unbound
                library copy of their thesis for examination to the PhD Office.

         12.8.2 All examiners' copies of theses will be stamped "Examination Copy - Not for
                Citation or Distribution" on the front cover by the PhD Office.

         12.8.3 When despatching the soft-bound copies of the thesis to the examiners, the
                Research Services Office will inform the examiners that they retain the copy
                of the thesis following completion of the examination. Where an embargo has
                been placed on access to the thesis the examiners will be advised of the period
                of restriction. Under no circumstances will the Research Services Office
                attempt to recover an examiner's copy of a thesis.

         12.8.4 Upon completion of a thesis examination, the student is advised of the result
                and invited to prepare hard-bound or soft-bound copies of the thesis at their
                own expense for distribution to their School, supervisor, etc, if they so choose
                (see Section 13.2 below).




University of New England                                        22            Postgraduate Research Degree Handbook
13.0     Examination of the Thesis

         Note: The following section refers to the requirements for higher research degrees,
         other than Research Masters. The procedures for submission of Research Masters
         degrees may vary slightly and specific requirements should be obtained from your
         principal supervisor.


13.1     The Process of Examination

         13.1.1 Before a thesis is submitted for examination, students and supervisors should
                read the Rules on its examination. Note that the Doctoral Committee has
                considerable latitude in the options open to it in examination.

         13.1.2 Firstly, the Committee must consider and approve the list of examiners
                submitted to it by the Head of the supervising School. It is most important
                that a candidate has a part in the preparation of such a list. It is accepted
                practice that the principal supervisor should discuss a shortlist of potential
                examiners with the candidate (say, 5 or 6). Because of the expertise a student
                will have acquired during their research program, they should be in a very
                good position to discuss potential examiners with their supervisors.
                Remember that UNE policy states that a biased examiner must not be used
                (and that includes a bias to your advantage!). After the discussion between
                the candidate and supervisors, the principal supervisor should then consult
                the Head of School, when the latter prepares a final confidential list of 3
                examiners (and 1 reserve examiner) to be submitted to the Doctoral
                Committee for approval.

         13.1.3 This final list of nominated examiners is a highly confidential document. In
                no circumstances should a student be aware, at the nomination stage, of the
                details of this final list of recommended examiners. It is required that the
                principal supervisor and/or Head of School approach a potential examiner,
                and briefly discuss informally with him or her, whether he or she will have
                time to examine the thesis, and whether he or she feels that his or her
                expertise is appropriate for the examination.

         13.1.4 When the necessary copies of the approved thesis have been submitted, and
                the examiners have been approved, the thesis will be sent out for
                examination. A copy of the Information for Examiners proforma is available
                at http://www.une.edu.au/research-services/rsforms.html. Each examiner is
                asked to report to the Committee within two months of receipt of the thesis;
                and is also asked to advise the Committee if he or she is of the opinion that a
                longer time will be required before submission. The Committee is mindful of
                the sometimes protracted period of examination, and follow-up letters are
                sent to slow examiners. Nevertheless, it may be four or five months or more,
                before all the examiners' reports on the thesis are available to the Committee.
                The Committee must consider the reports before coming to a decision in
                accordance with the Rules for the PhD degree.

         13.1.5 The process may well not end there. In the case of the examiners disagreeing
                in their verdict, the Doctoral Committee may ask them to consult with each
                other: if they do agree to consult, they may still agree to disagree in their
                individual verdicts on the thesis; and in this case the Committee may possibly
                appoint an adjudicator external to the University, who will be required to
                report to the Committee, and to submit a judgement on the examiners' reports
                and the thesis itself.



University of New England                     23             Postgraduate Research Degree Handbook
         13.1.6 The Committee also has other options available to it. For further details,
                please consult the Research Services Office.
         13.1.7 The above explanation is given in an attempt to lessen the concern expressed
                by many candidates who have a thesis under examination. Unfortunately there
                is little else that can be said for their comfort. Examination is a completely
                confidential matter until it is concluded; usually the only advice that can be
                given to a student whose thesis is under examination is whether the reports of
                the examiners have been received by the Committee. The Research Services
                Office does realise the anxiety some candidates feel at this point, and do not
                mind if students and supervisors contact them to see if there is any news.

         13.1.8 Eventually the Doctoral Committee is in a position to make a decision based
                on the reports of the examiners (and possibly of an adjudicator). This decision
                will be communicated to the candidate and supervisors by letter and each will
                be sent a copy of the reports of the examiners. All examiners will have been
                asked to indicate clearly whether or not their names may be revealed to the
                candidate. The University respects their right to withhold their names, in
                which case they are referred to simply as "Examiner A", "Examiner B", etc.
                and their names are removed from the copies of the reports which are sent to
                you.

         13.1.9 If a candidate is invited by the Committee to revise their thesis and submit it
                again for further examination, the copies of the examiners' reports on the first
                submission of the thesis are always identified to you simply as "Examiner A",
                "Examiner B", etc.

13.2     The Unbound Thesis Copy Submitted for Examination

         13.2.1 The unbound copy will be returned to you after examination for:

                  (a)   corrections / changes - in this case, your supervisor (and Head of School
                        in some cases) must certify that the corrections / changes have been
                        done satisfactorily, when you submit the corrected copy to the Research
                        Services Office. This copy is the one which may be requested by other
                        scholars, so its presentation should be faultless. If all requirements for
                        the degree are then satisfied, the unbound copy becomes the University's
                        property and is deposited in the Dixson Library (as noted in Section 18.1
                        above). This unbound copy is available for microfilming or copying,
                        unless the candidate has placed a (temporary) restriction on access to it.

                        In addition to the provision of the final corrected unbound library copy
                        of the thesis to the University Library, the candidate will also provide
                        one soft bound copy of the thesis to their Principal Supervisor and one
                        soft bound copy to the relevant School Library. Where Principal
                        Supervision involves more than one person/School or organization then
                        additional copies are to be provided as necessary.

                  (b)   revision and re-examination - after revision is completed to the principal
                        supervisor's satisfaction, he or she must certify (as in Section 12.6.1
                        above) his or her satisfaction with the result of the revision, in a similar
                        manner as that for an original thesis. The subsequent progress of the
                        copy, if examination is successful, is as for (a) above.

                  (c)   if, regrettably, an original or revised version fails ultimately to meet the
                        requirements for the degree.


University of New England                       24             Postgraduate Research Degree Handbook
         13.2.2 When the candidate submits the final unbound copy (with the certificate
                referred to in Section 13.2.1) there should also be 4 bound copies submitted.
                These copies will normally be provided to the Faculty / School / Centre library
                and to the candidate’s supervisors.

13.3     Keeping in Touch

         13.3.1 When a thesis is under examination, it is most important that the candidate
                remain in communication with the University. At the time of submission of
                the thesis for examination or re-examination, the student’s enrolment ceases.
                Usually, the only circumstances under which a candidate formally re-enrols is
                if he or she accepts an invitation to revise the thesis and re-submit it for further
                examination.

         13.3.2 It is not necessary for a candidate making final corrections / changes to the
                unbound copy of the thesis to formally re-enrol. If required, special
                arrangements can be made to enable access to IT or library facilities. Please
                discuss your needs with your principal supervisor in the first instance.


                      It is most important that you ensure that the University
                      administration, including the PhD Office, is kept up to date with
                      current address, telephone and fax numbers, until at least the
                      actual date of Graduation.




University of New England                       25             Postgraduate Research Degree Handbook
14.0     Graduation

         14.1.1 At the time a student submits their thesis to the Research Services, the
                following forms should be given to the student:
                •     an application for admission to the degree form;
                •     a form which indicates if any restriction is to be placed on access to the
                      thesis copy deposited in the relevant University library and giving
                      permission for microfilming of the eventual (successful) thesis.

         14.1.2 At or soon after submission of the thesis, the student should return these
                forms, completed, to the Research Services Office. When examination of the
                thesis has been completed, and if it is ultimately accepted by the University
                as fulfilling the requirements for the degree, the Doctoral Committee makes a
                recommendation to the Academic Board, which in turn recommends to the
                University Council that the candidate be admitted to the degree.

         14.1.3 At that point, the candidate and supervisors will be informed that all
                requirements for the degree have been completed, and a certificate
                acknowledging this is sent to the candidate. This certificate may be used to
                advise a third party, eg an employer, of the fact that the degree's requirements
                have been completed - it should satisfy practically all the requirements of,
                say, a potential employer.

         14.1.4 Graduation ceremonies are carried out twice a year, usually in March/April
                and September/October. If a candidate has a real and pressing need to prove
                to an outside party more than the fact that the degree requirements have been
                completed, the candidate can write direct to the Secretary of the Academic
                Board, asking that the degree be conferred by the University in absentia,
                before the next annual graduation ceremony. By accepting the award of the
                degree in absentia a candidate cannot receive the same award at a Graduation
                Ceremony.

         14.1.5 A doctoral graduand may not legally use the title “Doctor” until after the
                degree has been conferred either in absentia or at a Graduation ceremony.




University of New England                      26            Postgraduate Research Degree Handbook
Appendix A

                                UNE MASTERS COURSES 2005
                                 (in accordance with the 2005 Hanbook)

       Faculty                  Research Masters Courses                 Masters - non-research courses
                                   (min 66% research)                     (<66% research component)

 Arts, Humanities           M Arts (Hons)                            M Arts
 & Social Sciences          M Music (Hons)                           M Applied Linguistics
                            M Urban & Regional Planning (Hons)       M Psychology (Clinical)

 Economics,                 M Economics                              M Business Administration
 Business & Law             M Laws by Research                       M Economic Studies
                                                                     M Commerce
                                                                     M International Business
                                                                     M Hospitality & Tourism Management
                                                                     M Laws by Coursework

 Education, Health          M Professional Studies (Hons)            M Professional Studies
 & Professional             M Nursing (Hons)                         M Nursing
 Studies                    M Counselling (Hons)                     M Counselling
                            M Administrative Leadership (Hons)       M Administrative Leadership
                            M Education (Hons)                       M Education
                            M Educational Administration (Hons)      M Educational Administration
                            M Health Science (Hons)                  M Health Science
                            M Health Management (Hons)               M Health Management
                                                                     M Training & Development
                                                                     M Advanced Clinical Practice (Nurse
                                                                       Practitioner)

 Sciences                   M Engineering Science                    M Science (Agriculture)
                            M Rural Science                          M Environmental Management
                            M Resource Science                       M Geographic Information Science
                            M Science                                M Agriculture
                                                                     M Scientific Studies
                                                                     M Natural Resources
                                                                     M Computer Studies
                                                                     M Information Technology
                                                                     M Information Technology (Hons)
                                                                     M Information Systems
                                                                     M Information Systems (Hons)
                                                                     Professional Doctorate in Science




University of New England                         27              Postgraduate Research Degree Handbook
Appendix B

QUALITY AND STANDARDS IN RESEARCH HIGHER DEGREES

This revised UNE Policy on Quality and Standards in Research Higher Degrees was approved by
Academic Board in 1998. It supersedes and replaces the 1994 version of the policy. Amendments to
reflect changes in operational details (Committee names, contact details) were made in September
2004.

                                                TABLE OF CONTENTS
Code of Practice for Research Higher Degrees

   Introduction, Definitions and Scope
        1.         Introduction .................................................................................................................................
        2.         Definitions and Scope .................................................................................................................
   Principles and Practices ...............................................................................................................................
        3.         Admission to Candidature and Early Orientation ......................................................................
        4.         Provision of Supervision.............................................................................................................
        5.         Conduct of Supervisors...............................................................................................................
        6.         Conduct of Candidates................................................................................................................
        7.         Grievances Related to Candidature ............................................................................................
        8.         Examination ................................................................................................................................
        9.         Appeals........................................................................................................................................
        10.        Research Environment and Products of Research......................................................................
   Responsibilities ............................................................................................................................................
        11.        Responsibilities of the University...............................................................................................
        12.        Responsibilities of the School.....................................................................................................
        13.        Responsibilities of the Supervisors.............................................................................................
        14.        Responsibilities of the Candidate ...............................................................................................
Quality Assurance and Postgraduate Research
   Introduction and Rationale ..........................................................................................................................
        1.         Introduction .................................................................................................................................
        2.         Rationale......................................................................................................................................
   The Policy.....................................................................................................................................................
        3.         Appraisal by Candidates .............................................................................................................
        4.         Appraisal by Supervisors ............................................................................................................
        5.         Appraisal by Research Services or Faculty Administration ......................................................
        6.         Reporting .....................................................................................................................................
        7.         Acquittal ......................................................................................................................................
   References ....................................................................................................................................................
   Contact Numbers of Relevant Officers........................................................................................................




University of New England                                                   28                       Postgraduate Research Degree Handbook
Code of Practice for Research Higher Degrees

Introduction, Definitions and Scope

1.        INTRODUCTION

1.1       Research training is part of the University's core business. The University recognises
          that the work of research higher degree candidates forms a vital part of the
          institution's overall research effort and that research higher degree candidates make
          an important contribution to the University's research profile. The University is
          accordingly committed to excellence in research training practice.

1.2       The following sections describe the set of standards governing the practices and
          procedures for the University in its research higher degree awards.

1.3       This document describes the standards by which the University measures the quality
          of its provision of research training and is linked to the policy document "Quality
          Assurance and Postgraduate Research".

1.4       The phrase "Code of Practice" used in the remainder of this document is taken to
          mean the "Code of Practice for Research Higher Degrees".

1.5       Reference should be made to the documents Code of Conduct for Research and
          Rules on Intellectual Property.

2.        DEFINITIONS AND SCOPE

2.1       A research higher degree will have the title of:
          (a) Doctor, or
          (b) Master, and
          will represent a degree in which the research training component constitutes the
          major emphasis of the award. Higher degree research courses are ones for which at
          least two thirds of the student load is required as research work and not more than
          one third as course work.

2.2       The University sets the following standards of training and achievement for its
          research higher degree awards:

          (a) Research Doctoral Degrees

          These degrees provide supervised training and education with the objective of
          producing graduates with the capacity to conduct research independently at a high
          level of originality and quality. Candidates ought to be capable by the end of their
          candidature of independently conceiving, designing and carrying to completion a
          research program or project. Doctoral research candidates should uncover new
          knowledge either by the discovery of new facts, the formulation of theories, the
          development of new interpretive arguments/frameworks, innovative critical analysis,
          and/or the innovative re-interpretation of known data and established ideas.
          The University expects a Doctoral thesis to be well written and to reveal an
          independence of thought and approach, a deep knowledge of the field of study and
          to have made a substantive original contribution to knowledge.




University of New England                      29            Postgraduate Research Degree Handbook
(b)       Research Masters Degrees

          These degrees generally have the objective of training candidates in research
          methodology and techniques and in their critical evaluation, appropriate to their
          field of study, and in the application of such methodology by conducting a specified
          program of research under appropriate supervision.

           The University expects a research Masters thesis to exhibit a thorough
           understanding of the relevant techniques in the field demonstrated both by their
           application and a comprehensive review of the literature; to display competence in
           the chosen field through judicious selection and application of methods to yield
           fruitful results; and to demonstrate the capacity to evaluate these results and to
           present well written work.
2.3       A distinction is recognised between the research component of a research higher
          degree and research components of coursework or clinical Doctorates, coursework
          Masters, other postgraduate courses and honours bachelors degrees. This line
          divides small research projects (undertaken as a preparation for a research training
          award, or as a research component of a coursework Masters or of other postgraduate
          awards) from the substantive research training in a research higher degree.

2.4       “School” will be taken to include School, Research Centre or other approved
          academic unit involved with postgraduate research training.

PRINCIPLES AND PRACTICES

3.        ADMISSION TO CANDIDATURE AND EARLY ORIENTATION

3.1       Principles
          Admission procedures should be used to enhance and maintain the University's
          academic research activities by:

          (a)    attracting, selecting and expeditiously enrolling candidates of an appropriate
                 quality who are able to demonstrate appropriate preparation for the degree;

          (b)    ensuring that their candidature is supervised by the most appropriate staff and
                 Schools;

          (c)    clarifying conditions and expectations of candidature, for both the candidate
                 and supervisors; and

          (d)    assisting candidates to begin their degree promptly and effectively.

3.2       Practices

          To achieve these:

          (a)    the University, Faculty or school will accurately represent its research
                 interests, experience, facilities and capabilities in any advertising. They
                 should publish lists of individual staff, their research interests and products of
                 their research;

          (b)     prospective candidates will be asked to provide sufficient information about
                  themselves for initial screening to be carried out consistent with the
                  requirements for admission published in the University Handbook. This
                  information should include:



University of New England                       30             Postgraduate Research Degree Handbook
                  • details of their past academic achievements, externally examined theses
                    and dissertations, publications, and professional experience;

                  • other evidence of their ability to undertake a research higher degree,
                    including competence in English (or the approved language of study and
                    presentation for the degree); and
                 •    suggestions for research topics or topic areas, and a target time for
                      completion of the degree.

          (c)    the University will acknowledge receipt of each application, and either
                 process the application promptly, or advise applicants when it will be
                 processed and decisions made.

          (d)    the University will be prepared to seek further advice, if necessary, on the
                 applicant's experience and abilities to complete the candidature.

          (e)    the University will apply clearly defined conditions of probationary
                 candidature if there are any substantial doubts about a candidate's ability to
                 make good progress in the degree. The conditions of probationary
                 candidature should specify the means by which progress will be monitored
                 and reported to both the candidate and the institution. At the end of 12
                 months in the case of full-time candidates and 24 months in the case of part-
                 time candidates, probationary candidature should be either terminated or
                 converted to non-probationary status.

          (f)    candidates should be strongly encouraged to participate in induction programs
                 early in candidature.

4.        SUPERVISION

4.1       Principles

          The University should ensure that all candidates for research higher degrees receive
          adequate supervision at all stages of their research programs by:

          (a)    providing every candidate with the best possible supervisory support,
                 involving, if possible, at least two qualified supervisors, for the duration of
                 their candidature;

          (b)    providing supervisors and potential supervisors with facilities for acquisition
                 of supervisory skills; and

          (c)    being sensitive to special needs of gender, culture and language without
                 prejudicing the academic requirements of the award.

4.2       Practices

          To satisfy these principles, the University should:

          (a)    for each PhD candidate at the outset of their program, appoint, if possible, at
                 least two supervisors (of whom one will be designated principal supervisor)
                 who are skilled and knowledgeable in the general area of the proposed
                 research, and who expect to be available to supervise for the anticipated
                 duration of the research program; and for each research masters candidate
                 appoint a supervisor who is skilled and knowledgeable in the general area of



University of New England                      31               Postgraduate Research Degree Handbook
                   the proposed research, and who expect to be available to supervise for the
                   anticipated duration of the research program;

          (b)      in cases where a co-supervisor has not been appointed and in the event of the
                   sole supervisor's absence from the University for one month or more, provide
                   adequate substitute supervision, and inform the candidates of arrangements in
                   advance and invite comment upon them;

          (c)      make clear to candidates the names and responsibilities of their assigned
                   supervisors (refer to Section 11 for definitions of the particular
                   responsibilities of principal supervisors and co-supervisors);

          (d)      ensure that all supervisors have achieved at least the level of award being
                   sought by the candidate or in other ways have shown that they are competent
                   to supervise at the required level;

          (e)      ensure that all supervisors are familiar with regulations governing candidature
                   and standards acceptable for the award;

          (f)      establish guidelines and requirements for supervisors and candidates whereby
                   they regularly meet each other to discuss the progress of the candidate's
                   research program, and regularly report upon such progress to relevant
                   committees;

          (g)      provide staff development opportunities for supervisors to learn and enhance
                   relevant skills and attitudes;

          (h)      monitor the continuing appropriateness of supervision, and reform the
                   supervisory arrangements if necessary; and

          (i)       ensure that suitably qualified on-site supervision is available, if possible,
                    where the nature of the research activity requires it and where approved by
                    the controlling committee. Where an external co-supervisor is appointed, the
                    internal supervisor remains the principal supervisor.

5.     CONDUCT OF SUPERVISORS

5.1    Principles

        Supervisors should respect the rights and responsibilities of the students under their
        supervision as well as those of other supervisors who may be involved with the
        student’s research.

5.2    Practices

        To satisfy this principle, supervisors should:

        (a)        accede to reasonable request by their students with respect to issues regarding
                   to research, the scheduling of meetings with their students the scheduling of
                   seminars, and access to resources and other research support; and

        (b)        treat all students under their supervision equitably and with due attention to
                   matters of health and safety, ethics, and intellectual property where the
                   students' research activities are concerned.




University of New England                        32            Postgraduate Research Degree Handbook
6.     CONDUCT OF CANDIDATES

6.1    Principles

        Candidates should respect the rights and responsibilities of all University employees
        and fellow students.

6.2    Practices

        To satisfy this principle, candidates should:

        (a)        accede to reasonable requests by their supervisors and senior academic staff
                   with respect to the conduct of their research, the scheduling of meetings with
                   their supervisors, the provision of written reports and the scheduling of
                   seminars;

        (b)        accede to reasonable requests by academic and technical staff to comply with
                   the University's Occupational Health and Safety Policy and the requirements,
                   if relevant, of the University's Human Research Ethics Committee and the
                   Animal Ethics Committee;

        (c)        use University equipment as directed by suitably qualified technical staff; and

        (c)        co-operate with fellow students in the use of University facilities.

7.        GRIEVANCES RELATED TO CANDIDATURE

          The University will maintain an appropriate set of grievance procedures included in
          this Code of Practice that are accessible to any party.

7.1       Principles

          Grievance procedures for research higher degree candidates are intended to:

          (a)    prevent deterioration, to the point of jeopardising successful completion by
                 the candidate, of working relationships between any of the:

                 (i)        candidate;
                 (ii)       supervisor/s;
                 (iii)      school;
                 (iv)       relevant administrative services; and
                 (v)        relevant academic services;

          (b)    provide avenues for any of the parties listed under (a) above for address and
                 redress for a breakdown in the operation of any of the matters prescribed in
                 this Code of Practice; and

          (c)    comply with the University's Grievance Mediation Policy and Procedures.




University of New England                          33               Postgraduate Research Degree Handbook
7.2              Practices

          (a)    a grievance will be notified by the person that has the complaint namely:

                 (i)     candidate;
                 (ii)    supervisor/s;
                 (iii)   the Head of School;
                 (iv)    the director/manager of relevant administrative service; or
                 (v)     the director/manager of relevant academic services; or
                 (vi)    fellow students or other relevant School staff;

          (b)    in the first instance the complainant should speak to the other parties,
                 describing the cause(s) for dissatisfaction, and seek informal resolution;

          (c)    failing resolution informally the complainant shall directly notify the other
                 parties in writing with a copy to the Head of School and the director/manager
                 of the relevant administrative service who must maintain an official record, or
                 shall seek the assistance of a trained Grievance Mediator of the University in
                 facilitating the process of written notification;

          (d)    mediation may be arranged by:

                 (i)     the Head of School concerned, or
                 (ii)    a Head of another School, or
                 (iii)   a Professor of another School , or
                 (iv)    the director/manager of the relevant administrative service, or
                 (v)     a trained Grievance Mediator of the University.

                 All parties should agree to arrangements for mediation, and wherever possible
                 trained Grievance Mediators of the University should be involved. All parties
                 to the mediation may be accompanied by a representative from a staff or
                 student association as appropriate;

          (e)    the outcome of such mediation shall be notified in writing to all parties to the
                 mediation and to the Pro Vice-Chancellor (Research & Development) who
                 must ensure that all correspondence is registered;

          (f)    in the case of unsuccessful mediation, the Pro Vice-Chancellor (Research &
                 Development) will act as arbitrator or will delegate arbitration of the dispute
                 to the University Ombudsman but the parties will retain the right of appeal to
                 the Council. The Council will determine its own procedures for electing to
                 hear an appeal and for dealing with it. The complainant will have the right to
                 representation; and

          (g)    these grievance procedures should be brought to the attention of candidates
                 and supervisors.

8.        EXAMINATION

8.1       Principles

          (a)    examination will be conducted to ensure that the candidate has satisfied stated
                 regulations for the degree;

          (b)    examiners should be selected for their appropriate level and area of research
                 experience. They should be active in research/scholarship, thus ensuring that



University of New England                        34            Postgraduate Research Degree Handbook
                 their knowledge of the field is current; and they should have empathy with the
                 theoretical framework used by the candidate;

          (c)    examination should be fair, objective and prompt;

          (d)    results of the examinations should be considered promptly by the controlling
                 committee;

          (e)    procedures should exist, and be applied, for resolving conflicting advice from
                 examiners;

          (f)    the candidate should be informed of the outcome of examination promptly
                 and constructively.

8.2       Practices

          To achieve these principles:

          (a)    the University will provide candidates at enrolment with a clear understanding
                 of the examination process, including what is required in a thesis and what
                 standards must be achieved;

          (b)    approximately three months before the anticipated time of submission of the
                 thesis the principal supervisor will consult in general terms with the candidate
                 and the other supervisor/s before drawing up a list of potential examiners for
                 consideration by the Head of School. Such discussion must not prejudice the
                 integrity, independence and confidentiality of the selection of examiners and
                 of the examination process as a whole;

          (c)    the names of proposed examiners will be submitted to the appropriate
                 controlling committee by the Head of School and examiners will be formally
                 appointed by that body usually before the thesis is submitted;

          (d)    examiners appointed by the University under these procedures must be
                 informed of their rights and responsibilities no later than at the time they
                 receive a copy of the thesis. In accepting appointment, examiners will be
                 asked to note Section 8 of this Code of Practice. They must be given a copy
                 of the Rules for the Degree and any supplementary information authorised by
                 the controlling committee;

          (e)    examiners will be asked to notify the controlling committee at the time of
                 appointment of any anticipated significant delay beyond the period stipulated
                 by the University;

          (f)    the University's controlling committee will monitor the progress of the
                 examination at regular intervals and will use a procedure that will ensure that
                 tardy examiners are contacted to ensure that delays are minimised;

          (g)    if the controlling committee considers that the examiners' reports conflict so
                 much that it is not possible to determine a common recommendation to
                 whether the thesis should be accepted, revised or failed, then the committee
                 must have policies in place to resolve the solution in accordance with
                 Principle 8.1(e) above;

          (h)    the controlling committee must set in place procedures to ensure appropriate
                 confidentiality of the examination process;



University of New England                      35             Postgraduate Research Degree Handbook
          (i)    the candidate and supervisors will be informed generally of progress and
                 promptly of the outcome of the examination process and examiners notified of
                 the outcome;

          (j)    the controlling committee will determine and declare normal standards for the
                 timetable for examination; and

          (k)    non-research components of awards will be subject to the rules appropriate to
                 that award.


9.        APPEALS

9.1       Principles

          (a)    a candidate must be able to appeal against the controlling committee's
                 decision upon the success or failure of their candidature if they have
                 reasonable grounds for supposing that the submission and examination of the
                 thesis, consideration of the examiners' reports, or arrival at a final decision
                 were procedurally flawed.

          (b)    candidates should be aware of their rights of appeal, the grounds upon which
                 they may appeal, how and to whom they may appeal, and the possible results
                 of doing so.

9.2       Practices

          To achieve these:

          (a)    appeals will be heard on procedural grounds only, including irregularities in
                 the conduct of the examination or evidence, acceptable to the University, of
                 prejudice or bias by one or more examiners;

          (b)    appeals against the outcome of an examination of a thesis shall be made to:

                 (i)    the Academic Board, for a PhD or professional Doctorate thesis, or
                 (ii)   the relevant Faculty, for a research Masters thesis,

                 as soon as possible, but not more than 31 days after the candidate has been
                 informed of the outcome of examination by the controlling committee. A
                 candidate shall be given later consideration by the academic body considering
                 the appeal if he or she can show that it was impossible to receive the result in
                 question and lodge an appeal within the stated period of time;

          (c)    an appeal must set out clearly the basis of the appeal and must be
                 accompanied, where appropriate, by any original documents submitted as
                 supporting evidence;

          (d)    when permission to resubmit is given, any additional work or other change
                 required by the University to the candidate's work must be specified;

          (e)    the academic body considering the appeal shall act expeditiously in resolving
                 the matter; and




University of New England                      36             Postgraduate Research Degree Handbook
          (f)    complaints about supervisors or supervision, or about other matters perceived
                 during candidature, are not grounds for appeal. Such complaints should be
                 addressed using grievance procedures, when they arise.


10.       RESEARCH ENVIRONMENT AND PRODUCTS OF RESEARCH

10.1      Principles

          UNE will strive to foster a supportive research environment that will:

          (a)    support candidates in the timely completion of research higher degrees that
                 meet international standards of quality and pertinence within their disciplines;
                 and

          (b)    make candidature productive for candidates, supervisors, the University and
                 the larger community.

10.2      Practices

          To achieve these principles:

          (a)    in accepting supervision of a candidate, a School will negotiate with that
                 candidate a topic that is within the expertise of the supervisors, and can be
                 accomplished with the funds and facilities available within the School and
                 University;

          (b)    the School will frequently review library holdings, computer facilities and
                 other centrally maintained research facilities to assess their capacity to
                 support research higher degree projects. The University will maintain an
                 adequate level of availability of such common resources;

          (c)    the school should foster groups of candidates in the same or related
                 disciplines, so that candidature is spent amongst peers; particular effort
                 should be made to ensure that external candidates are able to interact with
                 peers;

          (d)    the School should foster an active research environment by presenting
                 research seminar series in which candidates participate as both listeners and
                 presenters; by encouraging participation and the presentation of research
                 findings at symposia, colloquia, workshops and conferences; and by giving
                 guidance and encouragement to publish in suitable, preferably refereed,
                 journals or books;

          (e)    each Faculty will make explicit its policy on publication rights of research
                 results, including joint authorship. Any policy will stimulate publication, not
                 discourage it;

          (f)    where it is agreed that a candidate embark upon a topic whose completion will
                 require access to funds or other resources in the control of the supervisors or
                 supervising school, a clear agreement will be negotiated between candidate
                 and supervisors governing access to and use of those resources; and

          (g)    bearing in mind that a research higher degree is training in all aspects of
                 research, the school and supervisors should seek opportunities to involve the




University of New England                      37             Postgraduate Research Degree Handbook
                 candidate in aspects of management of the whole project, including
                 appropriate management of funds, equipment, materials, sites and staff.

RESPONSIBILITIES

11.       RESPONSIBILITIES OF THE UNIVERSITY

          With due regard to the differing needs of internal and external candidates,

          It is the responsibility of the University, exercised through the Office of the Pro
          Vice-Chancellor (Research & Development), the Academic Board, and Deans of
          Faculties as appropriate, to ensure that:

11.1       Appropriate entry standards are met.

          (a)    Details of clearly defined entry standards are freely available to prospective
                 candidates;

          (b)    the standards are applied consistently;

          (c)    particular attention is given to the English language competence of candidates
                 of non-English speaking background; and

          (d)    every research higher degree candidate is provided with a copy of this Code
                 of Practice at enrolment or in any case not later than three months after the
                 date of their enrolment, and revised editions of the Code are provided to all
                 continuing research higher degree candidates as well as newly enrolling
                 candidates.

11.2      Facilities are suitable.

          (a)    Access is provided to appropriate physical facilities and resources;

          (b)    a clear statement is provided by the School and the University on special and
                 general resources available;

          (c)    prospective candidates are encouraged to visit Schools and speak to staff and
                 students; and

          (d)    there are appropriate orientation programs which include facilities such as
                 libraries and computing resources.

11.3      Ownership of intellectual property is clear.

          (a)    Clear policy documents are provided on the ownership of intellectual
                 property; and

          (b)    there is access to qualified staff to discuss relevant issues.




University of New England                        38             Postgraduate Research Degree Handbook
11.4      Reporting procedures are known.

          (a)    Provide advice on the University's current reporting requirements, including
                 copies of the reporting documents in use for:

                 (i)     annual progress reports;
                 (ii)    reports to outside agencies, if relevant; and
                 (iii)   quality assurance questionnaires.

11.5      Grievance procedures are known.

          (a)    Make available details of grievance procedures:

                 (i)     as set out under Section 7 of this Code; and
                 (ii)    as described in the University's Grievance Mediation Policy and
                         Procedures.

11.6      Involvement in graduate student life is encouraged.

          (a)     Assist with the supervisory process by providing seminars for both
                  supervisors and candidates appropriate to various stages of candidature;

          (b)     Promote meetings of candidates with similar interests; and

          (c)     Encourage Faculty-based discussions.

11.7    The examination process is understood.

          (a) Provide an explanatory statement on the examination process and its likely
          duration;

          (b)    ensure the appointment of experienced examiners and include examination
                 matters in seminars for candidates; and

          (c)    provide a clear statement of thesis standards and the University's expectations
                 in relation to the format and content of theses.

11.8      Supervisors are appropriate to their task.

          (a)    Appoint as supervisors only suitably qualified staff; and

          (b)    provide staff development programs in supervision of postgraduate research.

11.9      Administration is supportive and effective.

          (a)    Maintain the capacity to administer research higher degree candidature
                 efficiently, promptly, accurately, productively and humanely;

          (b)    ensure that all aspects of application, enrolment, supervision, progression and
                 examination are conducted in a friendly atmosphere that is constructively
                 helpful to all involved; and

          (c)    ensure that adequate resources are provided for facilitating the administrative
                 implications of this Code of Practice.



University of New England                        39             Postgraduate Research Degree Handbook
11.10     Regular consultation with relevant student associations occurs.

12.     RESPONSIBILITIES OF THE SCHOOL

           It is the responsibility of the School, exercised by the Head, to ensure that:

12.1      Requirements for admission are met.

          Accept only those candidates who have demonstrated an ability to undertake
          sustained research consistent with the requirement of the course.

12.2      The proposed research project is appropriate.

          Arrange a research topic appropriate to the requirement of the relevant award.

12.3      Facilities are available and appropriate.

          The School can provide the research higher degree candidate with adequate access
          to research facilities in the forms, for example, of laboratory space, equipment,
          computing, stationery, library holdings and study areas. The School must make
          general guidelines available on access to and management of such facilities.

12.4      Supervision is available.

          That in addition to expert supervision of the proposed topic as stated in Section 4.2,
          there is some supervisory backup within the University; and that the supervisors are
          able to and do

          provide sufficient time, guidance, and commitment to the research higher degree
          candidate. The School will encourage staff development and co-supervision
          arrangements to assist inexperienced staff. The staff's supervisory load will be taken
          into account in allocating school workloads and Heads of Schools will ensure that
          members of staff do not supervise so many candidates that their ability to supervise
          effectively or to fulfil other academic duties is diminished or impaired.

12.5      Formation of a Research Committee and the appointment of a postgraduate
          coordinator is encouraged.
          (a)    Schools should establish a Research Committee (which may be a sub-
                 committee of a School committee) consisting of representatives of all research
                 staff or of all appropriately qualified staff, responsible to the Head of School.
                 This committee will advise the Head of School on all aspects of research
                 training in research higher degree awards including advice on progress of
                 candidates.

          (b)    Schools should appoint a member of their academic staff (who meets the
                 criteria set out in Section 13.1.16) as postgraduate coordinator or equivalent,
                 and should ensure that the duties and responsibilities of the position are
                 properly defined, adequate resources are provided to assist in the performance
                 of those duties and proper recognition is given to the workload those duties
                 entail.




University of New England                       40             Postgraduate Research Degree Handbook
12.6       Appropriate opportunities are provided for communicating research results and
           maintaining group cohesion.

           Candidate participation in regular School seminars and/or other presentations is
           essential to develop communication skills. Candidates should:

           (a)   make a presentation at least annually on their research topic;

           (b)   contribute regularly to academic debate and interchange in the school; and

           (c)   be encouraged to publish the results of their research.

12.7       Appropriate opportunities for candidate interaction are encouraged.

           Schools should promote social and intellectual interaction among candidates.

12.8       Avenues for grievance airing, mediation and resolution are provided and publicised.

12.9       Any difficulties related to supervision are identified and resolved at an early stage.

           The Head of School has an essential role to play in resolving conflicts over
           supervision between candidate and supervisor consistent with the guidelines
           established in Section 7.

12.10      Provide guidelines on ethical and safety awareness.

           These standards have been established by National and University bodies. The
           School must draw them to the attention of the candidate and the School Research
           Committee should monitor their observance.

13.      RESPONSIBILITIES OF THE SUPERVISORS

13.1 It is the responsibility of all supervisors to:

13.1.1     be familiar with the rules governing candidature, and the standards acceptable for
           the degree;

13.1.2     be familiar with current research in the disciplinary areas relevant to the topic of the
           supervised research;

13.1.3     maintain effective, regular contact with the candidate, appropriate to the location of
           the research, mode of candidature (internal or external), experience of the candidate,
           and local alternative support (eg. whether or not the candidate belongs to a research
           group outside the University). Early in the candidature, the supervisors and
           candidate should negotiate and agree to the means by which contact will be
           maintained, and the frequency and nature of contact (see Section 14.). Supervisors
           should monitor by maintaining a log, their adherence to this agreed (but not rigidly
           inflexible) schedule of contact and ensure that it meets University or Faculty
           requirements;

13.1.4     negotiate and agree with the candidate and the other supervisor/s the timing and
           nature of any inspections of research apparatus, field trials, field sites, and so on,
           that may subsequently be used to evaluate and monitor the candidate's progress;

13.1.5     request written work from the candidate in consultation with the other supervisor/s
           on a pre-arranged, regular and agreed basis and return such work with constructive


University of New England                        41            Postgraduate Research Degree Handbook
          criticism within one month or less as appropriate; comment critically and
          constructively and in reasonable time on the content and the drafts of the thesis; and
          recognise that the best supervision requires that research higher degree candidates
          begin writing early in their candidature;

13.1.6    provide feedback from such monitoring to the candidate and the other supervisor/s
          promptly, and advise the candidate of any modifications to the agreed schedule of
          work that are suggested by the monitoring. The monitoring and feedback should be
          designed to enable the candidate to pace their progress and achieve a quality of
          research commensurate with successful completion of the degree in an appropriate
          time;

13.1.7    ensure that the candidate is made aware of inadequate progress (see Section 14.10)
          or of standards of work below that generally expected, identify the problems in
          consultation with the candidate and the other supervisor/s, and suggest ways of
          addressing them;


13.1.8    ensure that the candidate is adequately trained in safe working practices relevant to
          the field of research and adheres to the University's Occupational Health and Safety
          Policy;

13.1.9    ensure that the candidate is fully aware of the need to follow ethical practices as laid
          down in University policy and as appropriate to the particular discipline and
          relevant profession, and as specified by the University's Human Research Ethics
          Committee and Animal Ethics Committee;

13.1.10 encourage the candidate to prepare papers for publication or for presentation at
        conferences during the course of their candidature.

13.1.11 ensure that agreement is reached between the candidate and the supervisors
        concerning authorship of publications and acknowledgment of contributions during
        and after candidature;

13.1.12 be alert to personal and emotional problems that beset the candidate, without being
        unduly intrusive, and be acquainted with the system of pastoral care available in the
        University;

13.1.13 conduct all aspects of supervision in accordance with equal opportunity principles,
        in an atmosphere free of threat or harassment, and with sensitivity to diversity.

13.1.14 be prepared to relinquish supervision if, in the opinion of the Head of the
        responsible school, it would be in the best interests of successful candidature;

13.1.15 co-operate with the Head of School in finding alternative supervision, and make
        available to any appointed alternative or additional supervisors all records on
        supervision of the candidate and of progress in the candidature; and

13.1.16 meet the University's requirements for supervision, namely to hold a research higher
        degree at least equivalent to that being supervised or otherwise to have
        demonstrated competency to supervise at that level, and to have demonstrable
        current involvement in research. If a supervisor has no previous experience of
        supervision, then co-supervision with an experienced supervisor is required.




University of New England                      42             Postgraduate Research Degree Handbook
13.2       It is the particular responsibility of principal supervisors to:

13.2.1    guide the candidate towards effective conduct of the research and candidature, by
          discussing with the candidate:

           (a)    the nature and standard of research appropriate to the degree;
           (b)    the choice of an appropriate research topic;
           (c)    the time, assistance, funds and material resources available for the research,
                  and means for acquiring these; and
           (d)    the planning of an effective program for research, analysis, writing and
                  preparation;

13.2.2    maintain effective, regular contact with the co-supervisor/s to discuss and monitor
          the candidate's progress and coordinate communication between the supervisors and
          the candidate;

13.2.3    maintain communication with the Head of School, the School postgraduate
          coordinator and/or the School Research Committee as appropriate, on all matters
          relating to the candidate's work and rate of progress;

13.2.4    report, as required, to the controlling committee on the candidate's progress and on
          any difficulties encountered in the candidature and supervision. Such reports must
          be discussed with the candidate and the other supervisor/s before submission;

13.2.5    make a recommendation concerning candidate requests for variations of their
          conditions of candidature (such as change of enrolment status, requests for
          suspension or extension of candidature, permission to conduct fieldwork, etc) before
          a submission is made to the relevant controlling committee through the Head of
          School and/or the School postgraduate coordinator;

13.2.6    keep records of the candidate's work, accounts of progress, and problems in
          candidature adequate for another supervisor to take over supervision if necessary;

13.2.7    comment promptly and constructively on the content and presentation of the final
          draft of the thesis in consultation with the co-supervisor/s; and, at the time of
          submission, certify (if in their opinion this is so) that the thesis is properly presented,
          conforms to Regulations, and is fit for examination;

13.2.8    advise the candidate, if in their opinion the conditions of 11.2.7 are not met and
          further work seems necessary, against submission of the thesis at this stage, without
          forbidding the candidate to submit the thesis. If a thesis is submitted against the
          advice of the principal supervisor, that person is entitled to forward a report to the
          controlling committee detailing their concerns about the thesis. Such a report will be
          made available to the candidate but not to the appointed examiners; and

13.2.9    give thought to the suitability and availability of a potential field of examiners at
          least 3 months before the thesis is submitted, in consultation with the candidate and
          the co-supervisor/s, and advise the Head of the School of the names and credentials
          of suitable examiners.

13.3      It is the particular responsibility of co-supervisors to:

13.3.1    maintain an agreed level of communication with the candidate and the principal
          supervisor which enables effective supervision;




University of New England                        43             Postgraduate Research Degree Handbook
13.3.2    provide an agreed level of support for the candidate and principal supervisor through
          input on the effective conduct of the candidature, such as: the planning of an
          effective program for research, analysis, writing and thesis preparation; the time,
          assistance, funds and material resources available for the research, and means for
          acquiring these; the provision of complementary academic expertise, such as in
          specialised knowledge of a particular technique or sub-area of study;

13.3.3    act automatically as the principal supervisor in the event of that person's absence
          from the University for any reason (except where the co-supervisor is an Honorary
          Associate of the University and a replacement internal supervisor must be
          appointed).

14.        RESPONSIBILITIES OF THE CANDIDATE

           It is the responsibility of the candidate to:

14.1      become familiar with the University's regulations concerning the award for which
          they are undertaking research, and the standards acceptable for that degree;

14.2      play an informed part in the process of the selection and appointment of the
          supervisors;

14.3      maintain communication with the supervisors throughout the candidature; discuss
          with the supervisors, both in the initial stages of research and through an agreed
          schedule of meetings (or agreed equivalent communication), the topic of research,
          the methodology and other details of the research program, and the types of help
          considered most useful. Scheduled meetings should take place at least every two
          months for full-time candidates, and, if possible, at least every four months for part-
          time candidates, with further meetings at more frequent intervals as required by
          either the candidate or the supervisor/s; suitable protocols are to be developed for
          external candidates;

14.4      attend the University in person for those periods specified by the controlling
          committee at times agreed with the supervisors;

14.5      ensure that all administrative requirements of the University, such as re-enrolling
          each year, providing annual progress reports, and conforming to procedures for
          variations of conditions of candidature, are met;

14.6      satisfactorily complete any coursework units or other work additional to the thesis as
          required by the controlling committee on the recommendation of the supervisors and
          the Head of School which may include English language studies;

14.7      take the initiative in raising relevant problems or difficulties with the supervisors or
          the Head of school, and share responsibility for seeking solutions; candidates should
          be aware that supervisors cannot anticipate every difficulty that they might
          encounter, and they should be quick to raise problems (including any of a personal
          nature which might interfere with research progress) as they occur;

14.8      maintain the progress of the work in accordance with stages agreed with the
          supervisors, including in particular the presentation of required written material in
          sufficient time to allow for comments and discussion before proceeding to the next
          stage; such written materials should include explanations of proposed methodology,
          literature reviews, and other such working papers early in the candidature as well as
          draft chapters at later stages, all prepared according to an explicit (though not rigidly
          inflexible) research plan and timetable agreed at the start of the period of



University of New England                        44            Postgraduate Research Degree Handbook
          candidature by both the candidate and the supervisors; and attend to revisions and
          corrections of such written materials as advised by the supervisor/s;

14.9      adopt as a minimum framework for satisfactory progress the following general, full-
          time equivalent guidelines, although specific practice will vary according to the
          research discipline concerned (these guidelines are not intended to be prescriptive or
          exclusive). The candidate will develop, in consultation with the supervisors, a
          research plan, a preliminary thesis structure and a timetable for completion of the
          work by not later than six (6) months (full-time equivalent) after the commencement
          of candidature or the commencement of the thesis component of the award; this
          research plan should include specific goals for the research, their timing and
          sequence, the methodology being applied, and milestones to be achieved against
          which progress can be measured as outlined below:
          (a) Doctoral Research Candidates (3 years full-time equivalent)

                 (i)        by the end of the first year of candidature to have delivered a School
                            seminar on the proposed research program and to have produced an
                            identifiable piece of work (such as a major literature review, a
                            detailed experimental design, or another output relevant to the
                            specific research discipline) which can be critically assessed by the
                            supervisors;

                 (ii)       by the end of the second year of candidature to have produced a
                            substantial piece of writing beyond that submitted in the first year
                            and/or to be well underway with the experimentation process; and

                 (iii)      by the end of the third year of candidature to be nearing completion
                            of a first draft of the thesis and/or the experimentation period with a
                            view to undertaking revision and refinement of the written work in
                            the final year of candidature.

          (b)    Masters Research Candidates (maximum 2 years full-time equivalent)

                 (i)        by the end of the first semester of candidature to have delivered a
                            School seminar on the proposed research program and to have
                            produced an identifiable piece of work (such as a literature review, an
                            experimental design, or another output relevant to the specific
                            research discipline) which can be critically assessed by the
                            supervisors;

                 (ii)       by the end of the second semester of candidature to have produced a
                            piece of writing beyond that submitted in the first semester and/or to
                            be well underway with the experimentation process; and

                 (iii)      by the end of the third semester of candidature to be nearing
                            completion of a first draft of the thesis and/or the experimentation
                            period with a view to undertaking revision and refinement of the
                            written work in the final semester of candidature;

14.10     discuss with the supervisors at regular meetings progress towards, and any
          impediments to
          maintaining, the research plan and timetable agreed at the start of the period of
          candidature;

14.11     make at least three presentations in the case of Doctoral candidates and two in the
          case of Masters candidates based upon their own research, of which one, on the


University of New England                        45             Postgraduate Research Degree Handbook
          proposed research program, should be during the first year of candidature before
          substantial collection of data; and participate in seminars, presentations and other
          events organised by the candidate's school to promote intellectual interaction among
          research higher degree candidates;

14.12     provide formal reports, through the School Research Committee if appropriate, at
          least annually to the relevant controlling committee, at times and in the format
          prescribed by those committees;

14.13     become familiar with and adopt at all times safe working practices appropriate to the
          field of research, and adhere to ethical practices appropriate to the discipline,
          including the avoidance of plagiarism. Candidates must conduct their research in
          line with the University's Occupational Health and Safety Policy and the
          requirements, if relevant, of the University's Human Research Ethics Committee and
          Animal Ethics Committee;

14.14     ensure that original data are recorded in a durable and appropriately referenced form
          and are stored safely for a period appropriate to the discipline but in any case not
          less than five (5) years from the date of final thesis submission (for specific types of
          research such as clinical research up to 15 years is suggested);

14.15     accept responsibility for submitting on time the final copies of the thesis or
          dissertation, for its content, and for ensuring that it is in accord with the University's
          requirements for the award being sought; these requirements include the standard of
          presentation, acknowledgment of all significant assistance received, and relevant
          certification;

14.16     accept sole responsibility for the academic quality of the submitted thesis and for its
          eventual success or failure; and

14.17     conform to acceptable standards of behaviour in relation to interaction with fellow
          students and staff.




University of New England                       46             Postgraduate Research Degree Handbook
QUALITY ASSURANCE AND POSTGRADUATE RESEARCH

INTRODUCTION AND RATIONALE


1.         INTRODUCTION
1.1       This document describes policies and practices to give effect to the fourth point of
          the Academic Board's resolution on quality assurance, that: the University should
          review its practices in maintaining and enhancing the quality of its research training
          awards, including the quality of research higher degree supervision.

1.2       Policies on quality assurance are linked to defined standards in terms of the
          responsibilities of the parties concerned. The quality assurance measures described
          herein relate to the preceding document: "Code of Practice for Research Higher
          Degrees" - 1998 (referred to subsequently in this document as the Code of Practice).

2.        RATIONALE

2.1       The University must establish standards for, and against these evaluate the quality
          of, its postgraduate research activities. To do so it must obtain information about its
          performance in meeting declared standards, from those parties to whom the
          standards apply.

2.2       For present purposes the evaluation is to be restricted to matters described in the
          Code of Practice and the parties described in it, namely:

          (a)    candidates;

          (b)    supervisors;

          (c)    academic Schools (taken to include Departments, Research Centres or other
                 academic entities involved in research training of research higher degree
                 candidates);

          (d)    academic services; and

          (e)    administrative services.

2.3       The evaluation should provide:

          (a)    information on the University's performance against the Code of Practice;

          (b)    information useful to supervisors, academic Schools and administrative units
                 in creating and maintaining a high quality environment for research higher
                 degree candidates;

          (c)     the ability to report, at summary level, results of surveys that demonstrate the
                  extent to which the University is meeting its objectives in attaining a high
                  level of performance against its Code of Practice;

2.4       It is fundamental to the success of evaluation that questionnaires completed by
          candidates are:

          (a)    collected and analysed by persons independent of the subject of the appraisal;
          (b)    handled at all times in such a way that individual respondents will not be
                 identified in reporting; and



University of New England                       47             Postgraduate Research Degree Handbook
          (c)    not provided to any person other than the designated recipients of the
                 information.

2.5       Aggregated summaries should be made available to the Academic Board, Faculties,
          Vice Chancellor, Deputy Vice-Chancellor/Pro Vice-Chancellor (Academic), Pro
          Vice Chancellor (Research & Development), the UNE Postgraduate Association,
          Research Services, Student Access and Equity Officer and Equal Employment
          Opportunity Officer, but shall not be in the public domain unless approved by the
          Vice Chancellor.

2.6       Quality Assurance resources should not be used as a surrogate for grievance
          procedures. It will be assumed that candidates are aware of their rights under
          provisions in the Code of Practice and in other procedures of the University for
          grievance procedures. The onus of responsibility for initiating action on a grievance
          is to be with the owner of that grievance.

THE POLICY

3.        APPRAISAL BY CANDIDATES

3.1        Candidates enrolled in a Research Degree will be given the opportunity to evaluate,
           against standards expressed in the Code of Practice:

          (a)    their supervisor;

          (b)    their School;

          (c)    University academic services; and

          (d)    the administrative services relevant to their candidature;

3.2    Questionnaire forms will be used as the instruments of evaluation and will be provided:

          (a)    to all research higher degree candidates on a bi-annual basis (general
                 surveys); and

          (b)    to individual research higher degree candidates upon completion of the
                 examination process, after notification of the result, or upon withdrawal from
                 the award (exit surveys);

3.3       Distribution and collection of the forms will be arranged by the Pro Vice-Chancellor
          (Research & Development) and evaluation will be undertaken by the Academic
          Development Unit, within the Teaching and Learning Centre;

3.4       Candidates will be advised of the procedures for collecting, analysing and reporting
          the results of the forms. Candidates will be advised that confidentiality will be
          maintained at all times, and that no action of the process will link them by name or
          deduction to any reporting of information provided in the survey forms;




University of New England                       48            Postgraduate Research Degree Handbook
3.5       Questionnaire forms will include a section on grievance procedures, containing at
          least questions related to:

          (a)    the candidate's awareness of grievance procedures described in the Code of
                 Practice;

          (b)    whether the candidate has ever initiated formal grievance procedures;

          (c)    the manner of handling the grievance; and

          (d)    satisfaction in the outcome.

3.6       Questionnaires will determine whether copies of the Code of Practice were made
          available to respondents.

4.     APPRAISAL BY SUPERVISORS

4.1       Supervisors of candidates will be given the opportunity to evaluate against standards
          expressed in the Code of Practice:

          (a)    candidate(s);

          (b)    their School;

          (c)    university academic services; and

          (d)    administrative services relevant to candidates under supervision;

4.2       Questionnaire forms will be used as the instruments of evaluation and will be
          provided to supervisors of research higher degree candidates;

4.3       Supervisors will be advised of this policy and the schedule of evaluation at the same
          time as formal appointment as a supervisor;

4.4       Distribution and collection of the forms will be arranged by the Pro Vice-Chancellor
          (Research & Development) and evaluation will be undertaken by the Academic
          Development Unit; and

4.5       Questionnaires will determine whether copies of the Code of Practice were made
          available to respondents.

5.     APPRAISAL BY RESEARCH SERVICES OR FACULTY ADMINISTRATION

5.1       Personnel in Research Services (for Doctoral awards) or Faculty Administration (for
          Masters awards) will be requested by the Pro Vice-Chancellor (Research &
          Development) to collect and analyse information on performance of:

          (a)    Schools;

          (b)    supervisors; and

          (c)    examiners.

5.2       Information should also be collected on meeting defined standards of performance
          in response times for:

          (a)    commenting on applicants for admission to candidature by school;


University of New England                       49           Postgraduate Research Degree Handbook
          (b)    arriving at a research topic for a new candidate by School;

          (c)    annual reports on candidates by supervisors; and

          (d)    return of examiner's reports.

6.        REPORTING

6.1       Surveys will be collected and summarised independently of any of the parties
          evaluated.

6.2       Results of surveys will be made available as summaries aggregated by Faculty to:

          (a)    the Vice Chancellor;

          (b)    the Deputy Vice-Chancellor/Pro Vice-Chancellor (Academic);

          (c)    the Pro Vice Chancellor (Research & Development);

          (d)    the Academic Board;

          (e)    the Faculties;

          (f)    Schools;

          (g)    any academic or administrative service covered by the evaluation;

          (h)    Research Services;

          (i)    the Quality Assurance Officer;

          (j)    the University of New England Postgraduate Association;

          (k)    the Student Access and Equity Officer; and

          (l)    the Equal Employment Opportunity Officer.

          The results will not be considered as being in the public domain unless approved by
          the Vice Chancellor.

6.3       The results of surveys will not be used to inform any process of appraisal of staff
          and reports will not be produced at a level of aggregation below that of a Faculty.

6.4       It is expected that the results of surveys will be used to inform decisions about
          quality management. Quality management follow-up is a joint responsibility of all
          entities listed under 6.2.

7.        ACQUITTAL

7.1       The quality assurance measures of this policy will be used only to assure the
          University of the extent to which its Code of Practice is followed at Faculty level,
          and to supply the means by which the University can demonstrate the quality of its
          postgraduate research activities.

7.2        The quality of postgraduate research activities is defined by the standards set in the
           Code of Practice. While the quality assurance practices report on the attainment of
           quality, they do not define it.


University of New England                        50           Postgraduate Research Degree Handbook
7.3       It is expected that the nominated recipients will address any systematic or singular
          deficiencies shown by the evaluation through renewed emphasis on the Code of
          Practice. This emphasis may take the form of requiring statements of compliance
          from relevant parties.

REFERENCES

In reviewing this policy document, the Working Party of the Academic Board's Research and
Graduate Studies Committee consulted the following external publications:

AVCC Code of Practice for Maintaining and Monitoring Academic Quality and Standards in
Research Higher Degrees (1990)

The Council of Australian Postgraduate Associations (CAPA), Model Code for the Conduct of
Postgraduate Research and Statement of Minimum Resources (1997)

Macquarie University, Code of Supervisory Practice (1994)

Queensland University of Technology (QUT), (i) Code of Good Practice for Postgraduate
Research Supervision; (ii) Policy and Procedures for Handling Grievances (1993)

University of Edinburgh, UK, A Code of Practice for Supervisors and Students (1994)

University of Queensland, Good Supervision: The Role of the Supervisor (1997)

University of Sydney, Code of Practice for Supervision of Postgraduate Research Candidates
(1992)




University of New England                     51            Postgraduate Research Degree Handbook
Appendix C

                                  UNE CODE OF CONDUCT FOR RESEARCH


                                               TABLE OF CONTENTS

       Introduction ............................................................................................................................................
       Preamble .................................................................................................................................................
       General Ethics and Safety Considerations.............................................................................................
       1. Principles ............................................................................................................................................
                 1.1 Statement of Guiding Principles...........................................................................................
                 1.2 Observance of the Code........................................................................................................
                 1.3 Breach of the Code................................................................................................................
                 1.4 Advice ...................................................................................................................................
       2. Specific Requirements........................................................................................................................
                 2.1 Data Storage and Retention ..................................................................................................
                 2.2 Publications and Authorship.................................................................................................
                 2.3 Supervision............................................................................................................................
                 2.4 Conflicts of Interest...............................................................................................................
       3. Additional Requirements....................................................................................................................
       4. Research Misconduct .........................................................................................................................
       5. Procedures for Dealing with Allegations of Research Misconduct ..................................................
                 5.1 Complaint ..............................................................................................................................
                 5.2 Enquiry ..................................................................................................................................
       Statement of Authorship.........................................................................................................................
       Location of Data




University of New England                                                  52                      Postgraduate Research Degree Handbook
Code of Conduct for Research
INTRODUCTION

This statement of the appropriate practices for the conduct of research was adopted by the
University of New England in 2003 and replaces the 1997 policy of the same name. It is
closely based on the Joint NHMRC/AVCC Statement and Guidelines on Research Practice
(1997).

The nature of particular disciplines needs to be taken into account when interpreting the Code
of Conduct for Research. For example, since in some disciplines research involves analysis of
pre-existing data sets such as the results of a population census, multiple publications may be
expected (see 2.2.7). Similarly, in relation to the retention of data (see 2.1), practical
considerations of storage space, security, confidentiality, etc will need to be taken into
account.

This code complies with the principles set out in the document Quality and Standards in
Research Higher Degrees.
Reference    should     be   made      to   the    Policy  on   Intellectual   Property
(http://www.une.edu.au/rmo/policies/polRES.html).

PREAMBLE

Research and the pursuit of truth are vital functions in higher education institutions. Central to
the long established principles that guide research are the maintenance of high ethical
standards, and validity and accuracy in the collection and reporting of data. The research
community must always act responsibly towards the public, the professions, colleagues,
students and other institutions.

Communication between collaborators, maintenance of and reference to records, presentation
and discussion of work at scholarly meetings, publication of results, including the important
element of peer refereeing, and the possibility that investigations will be extended by other
researchers, all contribute to the intrinsically self-correcting nature of research.

The University of New England has established this Code of Conduct as a framework for
sound research practices and for the guidance and protection of individual researchers (staff
and students).

GENERAL ETHICAL AND SAFETY CONSIDERATIONS

It is a basic assumption at the University of New England that researchers1 are committed to
high standards of professional conduct. Researchers have a duty to ensure that their work
enhances the good name of the University and the discipline to which they belong.

Researchers should participate only in work which conforms to accepted ethical and safety
standards and which they are competent to perform. Where a researcher is in doubt about this
Code of Conduct, advice should be sought from the relevant institutional ethics and safety
committees. In particular, researchers should refer to:

           •          the "Code of Practice Covering the Welfare of Non-Human Vertebrate
                      Animals Used for Research and Teaching" issued by the Animal Ethics
                      Committee;

1
  “Researchers” refers to any person employed by or enrolled with the University of New England who
is conducting any research as part of their employ or enrolment at UNE. The definition includes theses
and dissertations but excludes coursework units.


University of New England                         53             Postgraduate Research Degree Handbook
           •          the "Human Research Ethics Committee Guidelines" issued by the
                      Human Research Ethics Committee; and
           •          the UNE Occupational Health and Safety Policy.

Reference should also be made to codes of conduct of various disciplinary and professional
associations.

Any special standards of work performance and ethical conduct imposed by law, by
guidelines of regulatory agencies or by the University of New England in relation to particular
types of research are to be observed.

If data of a confidential nature are obtained, e.g. from individual patient records or from
questionnaires, confidentiality must be observed and researchers must follow guidelines laid
down by the relevant ethics committees. In general, research results and methods should be
open to scrutiny by colleagues within the University, and, through appropriate publication, by
the profession at large. Secrecy may be necessary for a limited period in the case of
contracted research or of non-contractual research which is under consideration for patent
protection.

1.     PRINCIPLES

1.1    Statement of Guiding Principles

This Code of Conduct ("the Code") prescribes standards of work performance and ethical
conduct expected of all persons (staff and students) engaged in research in the University of
New England ("the University") based upon the following guiding principles:

           1.1.1      Researchers have an obligation to achieve and maintain the highest
                      standards of intellectual honesty in the conduct of their research;

           1.1.2      Researchers should, in all aspects of their research:

                      (a)     demonstrate integrity and professionalism;
                      (b)     observe fairness and equity;
                      (c)     avoid real or apparent conflicts of interest; and
                      (d)     ensure the safety of those associated with the research;

           1.1.3      Research methods and results should usually be open to scrutiny and
                      debate by other researchers and through publication, by the profession;

           1.1.4      As a general principle research findings should not be reported in the
                      public media before they have been reported to a research audience of
                      experts in the field of research, except where there is a contractual
                      arrangement;

           1.1.5      It is acknowledged that where issues of public policy and concern make
                      prior advice desirable, such advice must be tendered first to the public or
                      professional authorities responsible, and the unreported status of the
                      findings must be advised at the same time. Only where responsible
                      authorities fail to act can prior reporting to the media be justified, and
                      again the unpublished status of the findings must be reported at the same
                      time;

           1.1.6      Where this is private reporting of research that has not yet been exposed
                      to peer-review scrutiny, especially when it is reported to prospective
                      financial supporters, researchers have an obligation to explain fully the



University of New England                       54             Postgraduate Research Degree Handbook
                      status of the work and the peer-review mechanisms to which it will be
                      subjected.

           1.1.7      Researchers must be aware of and adhere to ethical principles of justice
                      and veracity, and of respect for people and their privacy and avoidance of
                      harm to them, as well as respect for non-human subjects of research;

           1.1.8      Where research procedures are of a kind requiring approval by the
                      Human or Animal Ethics Committees of the University, or by other
                      validly constituted regulatory committees, research must not proceed
                      without such approval;

           1.1.9      All reasonable steps must be taken to ensure that published reports,
                      statistics and public statements about research activities and performance
                      are complete, accurate and unambiguous.

1.2        Observance of the Code

           1.2.1      Researchers must familiarise themselves with the Code and ensure that
                      its provisions are observed.

1.3        Breach of the Code

           1.3.1      Failure to comply with the provisions of the Code may be a ground for
                      disciplinary action.

1.4        Advice

           1.4.1      Researchers have an obligation when in doubt to obtain advice on
                      integrity in research from their Head of School, the School or Centre, or
                      the Dean of their Faculty.

2.         SPECIFIC REQUIREMENTS

2.1        Data Storage and Retention

           2.1.1      Data must be recorded in a durable form with appropriate references.

           2.1.2      On each occasion that research is made public, the forms 'Statement of
                      Authorship' and 'Location of Data' must be filled out, signed and lodged
                      with the Head of School of which the principal researcher is a member.
                      If, for any reason, one or more co-authors are unavailable or otherwise
                      unable to sign the statements, the Head of School may sign on their
                      behalf, noting the reason for their unavailability. Heads of Schools must
                      keep copies of these statements in their School files.

           2.1.3      Data must be retained intact for a period of at least five years from the
                      date of any relevant publication, but for specific types of research such as
                      clinical research up to 15 years is suggested. Wherever possible, original
                      data must be retained in the research unit or School in which they were
                      generated.

           2.1.4      A research unit or school must establish procedures for retention of data
                      and researchers must comply with these retention procedures. Where
                      appropriate, confidentiality provisions should be applied (see Section
                      2.2.9).



University of New England                       55            Postgraduate Research Degree Handbook
           2.1.5      Data related to publications are to be made available for discussion with
                      other researchers, except where confidentiality provisions prevail (see
                      Section 2.2.9).

           2.1.6      When the data are obtained from limited access data-bases, or via a
                      contractual agreement, written indication of the location of the original
                      data (through the 'Location of Data' form), or key information regarding
                      the data-base from which it was collected, must be retained by the
                      researcher and the Head of School.

           2.1.7      Researchers must be responsible for ensuring appropriate security for any
                      confidential material, including that held in computing systems. Where
                      computing systems are accessible through networks, particular attention
                      to security of confidential data is required. Security and confidentiality
                      must be assured in a way that copes with multiple researchers and the
                      departure of individual researchers.

2.2        Publication and Authorship

           2.2.1      A publication must contain appropriate reference to the contributions
                      made by all participants in the relevant research.

           2.2.2      On each occasion that research is made public, the forms 'Statement of
                      Authorship' and 'Location of Data' must be filled out, signed and lodged
                      with the Head of the School of which the principal researcher is a
                      member. If, for any reason, one or more co-authors are unavailable or
                      otherwise unable to sign the statements, the Head of School may sign on
                      their behalf, noting the reason for their unavailability. Heads of Schools
                      must keep copies of these statements in the school files. The forms are
                      appended to Appendix C: UNE Code of Conduct for Research.

           2.2.3      Authorship is defined as substantial participation, where all the following
                      conditions are met:

                      (a)     conception and design, or analysis and interpretation of data:
                      (b)     drafting the article or revising it critically for important
                              intellectual content; and
                      (c)     final approval of the version to be published.

                      An author's role in a research output must be sufficient for that person to
                      take public responsibility for at least part of the output in that person's
                      area of expertise. No person who is an author, consistent with this
                      definition, must be excluded as an author without their permission in
                      writing.

           2.2.4      A person who has not participated in conceiving, executing or
                      interpreting at least part of the relevant research is not to be included as
                      an author of a publication derived from that research. Participation solely
                      in the acquisition of funding or the collection of data does not justify
                      authorship. General supervision of the research group is not sufficient for
                      authorship.

           2.2.5      Where there is more than one co-author of a research output, one co-
                      author (by agreement amongst the authors) should be nominated as




University of New England                       56             Postgraduate Research Degree Handbook
                      responsible or principal author for the whole research output, and should
                      take responsibility for record-keeping regarding the research output.

           2.2.6      Contributions to research made by any persons which are insufficient for
                      them to be included as authors should be recognised in any publication
                      derived from that research. Convention demands that individuals and
                      organisations providing facilities should also be acknowledged.
                      Publications must include information on the sources of financial support
                      for the research. Financial sponsorship that carries an embargo on such
                      naming of a sponsor should be avoided.

           2.2.7      A publication which is substantially similar to another publication
                      derived from the same research must contain appropriate reference to the
                      other publication.

           2.2.8      A researcher who submits substantially similar work to more than one
                      publisher should disclose that fact to the publishers at the time of
                      submission.

           2.2.9      Confidentiality provisions relating to publications may apply in
                      circumstances where the University or the researchers have made or
                      given confidentiality undertakings to third parties or confidentiality is
                      required to protect intellectual property rights. It is the obligation of the
                      researchers to enquire at an early stage as to whether confidentiality
                      provisions apply and of the Head of School to inform researchers of the
                      obligations with respect to these provisions.

2.3        Supervision

           2.3.1      Each research unit or School must adopt guidelines for supervision of
                      research in accordance with requirements prescribed from time to time by
                      the Academic Board.

           2.3.2      A research supervisor must observe and undertake the responsibilities set
                      out in these guidelines.

           2.3.3      A person must decline appointment as a research supervisor unless that
                      person expects to be able to discharge the responsibilities set out in these
                      guidelines.

2.4        Conflict of Interest

           2.4.1      A researcher must make full disclosure of a real or possible conflict of
                      interest in research to the relevant Dean, as soon as reasonably
                      practicable after the conflict arises.

           2.4.2      A researcher must comply with a direction made by the relevant Dean in
                      relation to a real or possible conflict of interest in research.

           2.4.3      Researchers have an obligation to disclose at the time of reporting or
                      proposing research any conflict of interest which has the potential to
                      influence research and investigations, publication and media reports,
                      grants applications, applications for appointment and promotion. They
                      also have an obligation to disclose any conflict of interest to editors of
                      journals, to the readers of the published works, and to internal and
                      external bodies from which funds are sought.



University of New England                       57             Postgraduate Research Degree Handbook
3.         ADDITIONAL REQUIREMENTS

           3.1        Any special standards of work performance and ethical conduct imposed
                      by law or by the University in relation to particular categories of research
                      are deemed to be included in this Code in its application to persons
                      engaged in that research in the University.

           3.2        Researchers must list their publications and must make a declaration that
                      they have complied with the provisions of the Code as part of their
                      annual reporting requirements.

4.         RESEARCH MISCONDUCT

           4.1        "Research Misconduct" is taken here to mean fabrication, falsification,
                      plagiarism, or other practices that seriously deviate from those that are
                      commonly accepted within the academic community for proposing,
                      conducting, or reporting research. It does not include honest errors or
                      honest differences in interpretation of judgements of data. Misconduct in
                      research is constituted by a failure to comply with the provisions of the
                      Code and, without limiting the generality of this section, includes:

                      (a)     the fabrication or falsification of data;

                      (b)     plagiarism, which shall be understood to mean the presentation of
                              the documented words of another as his or her own, without
                              attribution appropriate for the medium of presentation;

                      (c)     using any information in breach of any duty of confidentiality
                              associated with the review of any manuscript or grant
                              application;

                      (d)     intentionally omitting reference to the relevant published work of
                              others for the purpose of inferring personal discovery of new
                              information;

                      (e)     misleading ascription of authorship to a publication including the
                              listing of authors without their permission;

                      (f)     attributing work to others who have not in fact contributed to the
                              research;

                      (g)     the lack of appropriate acknowledgment of work primarily
                              produced by a research student/trainee or associate;

                      (h)     interference with any research-related property of another person,
                              including without limitation the apparatus, reagents, biological
                              materials, writings, data, hardware, software, or any other
                              substance or device used or produced in the conduct of research;

                      (i)     misrepresentation as in stating or presenting a material or
                              significant falsehood; and

                      (j)     misrepresentation as in omitting a fact so that what is stated or
                              presented as a whole states or presents a material or significant
                              falsehood.



University of New England                       58              Postgraduate Research Degree Handbook
           4.2        Deliberate inclusion of inaccurate or misleading information relating to
                      research activity in curriculum vitae, grant applications, job applications
                      or public statements, or the failure to provide relevant information, is a
                      form of research misconduct.

5.         PROCEDURES FOR DEALING WITH ALLEGATIONS OF RESEARCH
           MISCONDUCT

5.1        Complaint

           5.1.1      Complaints of misconduct in research matters should be made to the
                      University’s Human Research Ethics Committee.

           5.1.2      The Human Research Ethics Committee shall advise the Vice-
                      Chancellor that a complaint has been received, as soon as is practicable,
                      and shall advise the Vice-Chancellor on the substance of the complaint.

           5.1.3      Where the Vice-Chancellor is satisfied that a complaint constitutes an
                      allegation of serious misconduct under the Universities and Post
                      Compulsory Academic Conditions Award 1995 ("the award"), in the case
                      of staff, or the University of New England General Rules and/or Student
                      Conduct Rules ("the rules"), in the case of students, the Vice-Chancellor
                      must deal with the allegation in accordance with the relevant provisions
                      of the award or the rules, as appropriate.

           5.1.4      Where the Vice-Chancellor is satisfied that a complaint constitutes an
                      allegation of misconduct under the Code but does not constitute an
                      allegation of serious misconduct under the award or the rules, the Vice-
                      Chancellor must appoint a committee consisting of a person or persons
                      with appropriate qualifications to undertake an enquiry into the
                      complaint.

           5.1.5      Where the Vice-Chancellor is satisfied that a complaint cannot be
                      sustained, the Vice-Chancellor must dismiss the complaint and inform
                      the person making the complaint accordingly.

           5.1.6      Where the Vice-Chancellor is satisfied that there is no reasonable basis
                      for a complaint, the Vice-Chancellor must determine whether it is
                      appropriate to take disciplinary action against the person making the
                      complaint.




University of New England                       59            Postgraduate Research Degree Handbook
5.2        Enquiry

           5.2.1      An enquiry established under section 5.1.4 of the Code must be
                      completed as expeditiously, and with such confidentiality, as the
                      circumstances of the complaint permit.

           5.2.2      The Vice-Chancellor must inform the person who is the subject of the
                      complaint of the terms of the complaint, the decision to undertake an
                      enquiry, and the committee appointed to undertake the enquiry.

           5.2.3      The Vice-Chancellor must also provide the person who is the subject of
                      the complaint with an opportunity to respond in writing to the complaint
                      within thirty days of notification, and an opportunity to make oral
                      submissions to the committee of enquiry.

           5.2.4      The committee appointed to undertake an enquiry must advise the Vice-
                      Chancellor whether, in their opinion, the person who is the subject of the
                      complaint is guilty of misconduct. The committee will act in such a way
                      as to protect the interests of all interested parties, including but not
                      limited to:

                      (a)     a person bringing an allegation;

                      (b)     a person against whom an allegation is made;

                      (c)     staff, students and trainees working with persons making an
                              allegation, or with persons against whom an allegation is made;

                      (d)      journals and other media reporting research subject to suspected,
                              alleged, or found research misconduct;

                      (e)     funding bodies supporting persons or research involved: and

                      (f)     the public.

           5.2.5      The Vice-Chancellor must inform the person who is the subject of the
                      complaint and the person making the complaint of the finding of the
                      committee appointed to undertake the enquiry.

           5.2.6      Where the committee appointed to undertake an enquiry is satisfied that
                      the person who is the subject of the complaint is guilty of misconduct, the
                      Vice-Chancellor must determine whether it is appropriate to take
                      disciplinary action against that person.

           5.2.7      Where the committee appointed to undertake an enquiry is satisfied that
                      there is no basis for a complaint, the Vice-Chancellor must determine
                      whether it is appropriate to take disciplinary action against the person
                      making the complaint.

           5.2.8      If research misconduct is found to have occurred, such misconduct must
                      be reported to any funding agency that funded work in respect of which
                      the misconduct occurred, or which is currently supporting the person
                      found to have engaged in research misconduct. Such misconduct must
                      also be reported to journals and other media through which the research
                      in question was reported.




University of New England                       60               Postgraduate Research Degree Handbook
           5.2.9      If persons subject to a complaint of research misconduct resign or have
                      resigned from the University, the committee appointed to undertake an
                      enquiry must continue or undertake any such investigation to establish
                      the facts of the matter in which research misconduct is alleged to have
                      occurred. Distortions of the research record must be rectified, whether or
                      not the persons involved remain in the University.




University of New England                      61            Postgraduate Research Degree Handbook
                                 University of New England
                                STATEMENT OF AUTHORSHIP

On each occasion that a researcher applies for a research grant any prior research involving
other researchers related to that project must be formally declared and attributed. If there is no,
or inadequate provision in the grant application for the attribution and acknowledgement of
the prior contribution of others to the research then this form must be filled out, signed and
submitted with a copy of the grant application to the Research Services Office If, for any
reason, one or more researchers are unavailable or otherwise unable to sign the statements, the
Head of School or Research Centre may sign on their behalf, noting the reason for their
unavailability. Heads of Schools or Research Centres must keep copies of these statements in
school / centre files.

Definition of Authorship
Authorship means substantial participation, where all the following conditions are met:
(a) conception and design, or analysis and interpretation of data, and
(b) drafting the article or revising it critically for important intellectual content, and
(c) final approval of the version to be published.
An author's role in a research output must be sufficient for that person to take public responsibility
for at least part of the output in that person's area of expertise. No person who is an author,
consistent with this definition, must be excluded as an author without their written consent.

Responsible or principal author(s): ______________________________________________________
Schools(s)________________________________________________________________________
Institution(s):_ ______________________________________________________________________
Authorship (refer to definition given above)
The authors of the paper entitled: _______________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
submitted to: _______________________________________________________________________
__________________________________________________________________________________
on _________________________ are the undersigned and there are no other authors.


          NAME                          SCHOOL/CENTRE                                 SIGNATURE




Statement by the responsible or principal author(s):-
I am/we are the responsible or principal author(s).
I am/we are authorised to sign this statement on behalf of any co-author who is unavailable or
otherwise unable to sign above (delete if this does not apply).

   SIGNED:_____________________________ Dated:_________________________________




University of New England                       62             Postgraduate Research Degree Handbook
                                    University of New England


                                       LOCATION OF DATA

On each occasion that research is made public the forms 'Statement of Authorship’ and
‘Location of Data' must be filled out, signed and lodged with the Head of the School or
Research Centre of which the principal researcher is a member. If, for any reason, one or
more co-authors are unavailable or otherwise unable to sign the statements, the Head of
School may sign on their behalf, noting the reason for their unavailability. Heads of Schools
or Research Centres must keep copies of these statements in school / centre files.
     Wherever possible, original data should be retained in the school / centre in which they
     were generated. Data on which publications are or will be based are retained, or their
     location recorded, not materials. Data should be safely held for as long as readers of
     publications might reasonably expect to be able to raise questions that require reference to
     such information. This should be at least five years. Where it is impossible or
     impracticable to hold data, a written indication of the location of the data or key
     information regarding the location (e.g. the way in which the data were called up from a
     limited-access database), must be kept in the school / centre. The location of the
     researcher's diary may be sufficient if the key information is recorded in it.
The primary data on which the paper is based are:


                     in the school(s) / Centre(s) of the responsible or principal author(s)


                     in the following location(s)

__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________

or                   no data are needed to check the conclusions of this paper.

SIGNED:_______________________________________________ responsible or principal
author(s)

DATE: ________________________________________________




University of New England                       63             Postgraduate Research Degree Handbook
Appendix D

   MINIMUM FACILITIES FOR UNE POSTGRADUATE RESEARCH STUDENTS1
1.   Principles

       1.1     This policy applies to all academic units (Faculties, Schools, Centres and
               Institutes) and is the minimum standard to be applied.

       1.2     The provision of minimum facilities for postgraduate research students is
               intended to provide a high quality and productive education environment with the
               greatest opportunity for quality outcomes and experience.

       1.3     Areas that are unable to comply with the provision of the minimum standards in
               full are required to annually document what additional provision needs to be
               available or what actions are being taken to comply with the policy. This
               documentation is to be collected as part of an audit process administered by the
               Research Committee of the Academic Board and will be included in the
               budgetary process for the provision of funds to address the needs. This process
               will be considered as part of UNE’s Quality Assurance and Risk Management
               processes.

       1.4     All new students and supervisors will be provided with a copy of the policy. The
               document will be included in the induction package for new students. The policy
               can also be accessed electronically from
               http://www.une.edu.au/rmo/policies/minstandards.pdf.

       1.5     Where additional resources/facilities above the minimum are available within an
               academic unit or particular discipline area, students are to be supplied with
               written information detailing policies regarding the access to and the distribution
               of such funds/facilities.

       1.6     Part time and/or off campus students must be provided with suitable work
               facilities when on campus, and appropriate access to research funds, on a pro rata
               basis.

       1.7     The facilities provided and the conduct of the program must comply with the
               University's policies on occupational health and safety and EEO.

2.     Minimum Facilities
Workspace

       2.1     Appropriate on-campus workspace is to be available on an individual basis for
               PhD students wherever possible. The maximum number of PhD, Professional
               Doctorate or Research Masters students to share an office is two, unless space
               arrangements can comfortably accommodate more than two.2

       2.2     Laboratory access, individual bench space and access to relevant equipment in
               laboratory-based disciplines is to be provided where necessary to the research
               project.

       2. 3 24 hour access to the relevant building(s)/room(s) with own keys.
1
 includes PhD; Professional Doctorates with research component of not less than two-thirds (66%); and Research
Masters with research component of not less than two-thirds (66%).
2
  Each School will reserve at least one-fully equipped work-station, as specified above, for externally-enrolled
postgraduate research students visiting the campus. Alternatively, the School will ensure that adequate space is
reserved for such students in appropriate venues such as the Postgraduate Centre or the Computer Lab.




University of New England                                64               Postgraduate Research Degree Handbook
Office Equipment

All offices occupied by full-time internal postgraduate research students3 are to be equipped
with:
      2.4 One desk and an ergonomically appropriate chair per student.

       2.5    One telephone with voicemail or answering machine per office. Free local access
              will be permitted on phones.

       2.6    One computer per student adequate for accessing:
                   • the world wide web;
                   • an e-mail account;
                   • UNE supported word processing software, e.g. currently licensed
                      version of Word;
                   • a relevant statistics package, capacity to process languages other than
                      English, or other commonly related research software, if required; and
                   • access to ITS support.
       2.7    Photocopier and printer access at School/Centre/Institute level with the minimum
              level as prescribed by the Faculty Research & Research Training Committee.

       2.8    Controlled fax access as determined by the Head of School or Director of a
              Research Centre/Institute.
       2.9    Telephone and computer data connection points.
       2.10 A minimum of 2 linear metres of bookshelf per student.
       2.11 One lockable filing cabinet (minimum 2 drawers) per student. A key for the filing
            cabinet is to be held by the student and a spare held securely by the School’s
            Administrative Assistant.
       2.12 Access to School stationery, such as University letterheads, where necessary for
            research-related purposes.
       2.13 Mail box, an on-campus mailing address and mail out facilities.

       2.14 Access to a tea room and washroom.

Library
       2.15 Core library holdings or electronic access to support the research topic should be
            held in the University Library and/or School/Centre/Institute.
       2.16 Free document delivery/inter-library loans within defined written limits set by the
            School/Centre/Institute and authorised by the Principal Supervisor, taking into
            account the research projects and disciplines. A copy of the School/Centre/Policy
            is to be provided to the student on commencement.
3
  These minimum standards should be appropriately adhered to for part-time internal postgraduates, but on a
timeshared basis or by other arrangements, as arranged by the School/Centre/Institute.
4
  “Internet usage by staff and research students will be rationed by charging cost centres 13 cents per MB
downloaded by staff and research students. ITD will provide detailed information to cost centre Heads on usage by
individual users” (from ITD Policy on Charging for Internet Services,
http://www.une.edu.au/rmo/policies/it/ChargingInternetServices.htm).




University of New England                              65               Postgraduate Research Degree Handbook
Grant Funding

      2.17 A minimum of $500 per annum for each full-time student (pro rata for a part-time
           student) is to be available for a variety of research–related expenses, e.g.
           fieldwork, conferences, additional library services, photocopying in excess of the
           prescribed Faculty standard (Item 2.7 above), thesis preparation, or any other
           expense which may be substantiated as a legitimate research or research-related
           cost.

      2.18 The student research grant is to be held by the School in an account for
           postgraduate research students. Approval for expenditure is by endorsement by
           Principal Supervisor and Head of School. Unexpended funds are not available to
           be carried forward without the written approval of the Head of School and only
           for a specific research-related purpose, where the accumulation of funds would
           enable access to activities or facilities that would not otherwise be possible
           without the carry-forward.

Student Resources and Induction

      2.19 A School-based awareness programme is to be provided for all postgraduate
           research students. The awareness programme will advise students, in an
           orientation and in writing, of the relevant School policies, practices and
           procedures concerning the conduct of research and a research degree. The
           orientation/induction can be self-guided, on-line. Participation in such a
           programme is mandatory for all students within the first 6 months of
           commencement of candidature in the interests of quality and safety.

      2.20 Postgraduate student representation is available on all relevant School and
           Faculty policy-making bodies.

      2.21 Students are to be provided with copies of the Quality and Standards in Research
           Higher Degrees and Code of Conduct (“gold book”) and other appropriate
           documents covering intellectual property, university ethics procedures, etc. by the
           School upon commencement of candidature. The latest version of this document
           is accessible at http://www.une.edu.au/rmo/policies/res/goldbook.pdf.

      2.22 Upon enrolment, students are to be advised of the University dispute resolution
           procedures, as contained in the Quality and Standards in Research Higher
           Degrees and Code of Conduct, which is provided upon enrolment. The latest
           version of this document is accessible at
           http://www.une.edu.au/rmo/policies/res/goldbook.pdf.

      2.23 Upon commencement of candidature, the School is to provide the student with
           the name and contact details of the nominated staff member of that School with
           the overall responsibility for postgraduate research students.

      2.24 Upon commencement of candidature, the School is to provide the student with
           details of the School’s Research Committee, including role and function and
           contact details of the postgraduate student representative on that Committee.

3.    Reporting

      3.1    Each Head of School/ Centre/Institute with current postgraduate students will
             report annually to the Academic Board’s Research Committee regarding
             compliance with this policy.

      3.2    Where there is any area where the School/ Centre/Institute is not complying then
             the report will include:



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             i)   A description of the areas of non-compliance and a strategy and timeframe
                  developed to address the areas of non-compliance;

             ii) Any request for support required to bring the School to compliance with the
                 policy; and

             iii) Where compliance cannot be achieved, e.g. due to physical constraints, any
                  request for exemption from compliance with specific provisions.

4.    Complaint Handling Process

      4.1 Any complaint about the facilities being provided for postgraduate students in a
      particular case shall be addressed, in the first instance, to the Head of the relevant
      School/Centre/Institute and, if unresolved, should be forwarded to the Dean of the
      relevant Faculty who will make the final determination.


      Policy endorsed by Academic Board and approved by Vice-Chancellor 22nd March 2004
      Review by Academic Board Research Committee due December 2004 SED04/151




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Appendix E

STUDENT / SUPERVISORS’ CHECKLIST
The Student / Supervisors checklist has been provided for two reasons. Firstly, it will allow
the PhD student to quickly determine if they have received all the support that is available to
them. Secondly, it will allow the student and supervisors to determine if they have fulfilled all
of their roles and responsibilities.
                                 Discussion Item                                          Date          Tick on

                                                                                                    Completion

The student has been allocated and met with the principal supervisor (and co-
supervisor(s), where applicable).
The student and Supervisors have discussed the proposed research topic and
are satisfied that the research topic suits the student’s abilities and interests.
The student has been made familiar with the School’s/Faculty’s (or Centre’s)
facilities and been given orientation and induction to the School /Centre (or an
agreed appointment has been made for orientation and induction).
The student and supervisor(s) have discussed and are agreed upon:
a. the student’s roles and responsibilities; and
b. the supervisors’ roles and responsibilities.
Regular and suitable meeting times and means of communication, e.g. face-
to-face meetings, telephone contact, e-mail, have been arranged and agreed
upon between the student and principal supervisor.
The student and principal supervisor have discussed and are aware of the
resources the student is entitled to.
The student has received or the principal supervisor has organised for the
student to receive the resources that they are entitled to under the minimum
facilities.
The student and principal supervisor have discussed the specialist support
available and know how to access this help.
The student and principal supervisor have discussed the Support available (see
Section 10 of the PhD Handbook).
The student and principal supervisor have discussed the way to address any
problems that may be encountered during candidature (see Section 11,
Postgraduate Handbook).



__________________________________ _____________________________________ ____________
          Student’s signature              Principal Supervisor’s signature                    Date
NB- The Student and Principal Supervisor should each retain a copy and the original sent to the Research
Services Office.



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Appendix F

SUPPORT SERVICES

The following is a list of support services available on campus that you may find of assistance
during your candidature. The list is not exhaustive and you should check with other sources,
such as your Supervisors or Faculty/School administration, if there is some specific assistance
you require that does not appear on the list below.

Support Service                              Telephone             Email


UNE Postgraduate Association (UNEPA)         (02) 6773 3422        postgrad@une.edu.au


UNE Union                                    (02) 6773 2349        kfellowes@union


Teaching and Learning Centre                 (02) 6773 2999        tlc@une.edu.au


Safety and Security                          (02) 6773 2099        security@une.edu.au


Research Services                            (02) 6773 2239        shamilt2@une.edu.au


Language Training Centre                     (02) 6773 6430        ltc@une.edu.au


International Office                         (02) 6773 3455        ioadmin@une.du.au


Equity Office                                (02) 6773 3369        equity@une.edu.au


Counselling and Careers Service              (02) 6773 2879        ehumphre@une.edu.au


Armidale International Association           (02) 6773 3455        aia@une.edu.au




University of New England                     69            Postgraduate Research Degree Handbook
Appendix G

                RESEARCH DEGREE SUPERVISION AGREEMENT
                              BETWEEN
            POSTGRADUATE RESEARCH STUDENT AND SUPERVISORS


Student’s Name: _______________________________ Student No. _____________

Principal Supervisor’s Name: _____________________________________________

Co-Supervisor’s Name: _________________________________________________

Names of any additional Co-Supervisors: ___________________________________

_____________________________________________________________________

Preamble – The Research Committee requires all postgraduate research students and their
supervisors to discuss a range of relevant matters relating to the candidature of a postgraduate
research student. The agreement is designed to cover matters to provide clarity and
consistency of understanding between all those who are directly involved in the student’s
research project. The agreement’s ultimate purpose is to set a strong and stable platform on
which to construct a quality partnership and facilitate a successful outcome.

This agreement should be explored and the outcomes agreed upon having regard to the
University’s Postgraduate Handbook and the relevant Faculty / School / Centre documents
and information.

A copy of the completed and signed document is to be provided to each of the supervisors and
to the student, with the original being forwarded to the Research Services Office for inclusion
on the Student’s file.

The agreement is to be completed within 6 weeks of the student commencing candidature.

1. 0 Induction

1.1 The facilities available under the Policy on Minimum Facilities for Postgraduate Research
    Students and the way these are accessed have been discussed.
1.2 Any additional facilities available in the School / Centre above the minimum standard and
    the means to access these have been discussed.
1.3 Internal students:
    1.3.1 The student has been shown the location of their office and other facilities in the
            School / Centre;
    1.3.2 The student has been introduced to the relevant School Administrative Officer.
1.4 Arrangements have been made for the student to attend any required OH&S training
    course, or the process for nominating for that training has been discussed.
1.5 Arrangements have been made for the student to have access to the web. In addition, the
    University Policy on web usage and download limits have been discussed.
1.6 Arrangements have been made for the student to access the library and library support /
    training; Endnote, electronic journals and inter-library loans have been discussed.
1.7 Contact information has been exchanged between the student and supervisors (e.g.
    telephone numbers, e-mail).




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1.8 Other Comments:




2.0 Meetings / Contact

2.1 Names of supervisory contact if not the Principal Supervisor (primary contact is usually
between the student and Principal Supervisor:

___________________________________________________________________________

2.2 Means of primary contact agreed upon, e.g. telephone, face-to-face meetings, e-mail:


2.3 Frequency of Primary Contact, e.g. daily, weekly, fortnightly, monthly:


2.4 Location of meetings and time (if required):


2.5 What happens if either person is unavailable for the arranged meeting?


2.6 What happens if either person does not regularly keep to the agreed contact arrangements?


2.8 What is the agreed process for recording the meeting and outcomes?

___________________________________________________________________________

2.7 Other comments:




3.0 Roles / responsibilities of the Student and Supervisors
Note: The discussion in this section could include a discussion on supervision style and
expectations, e.g. supportive, directive. Details regarding supervisor / student responsibilities
and changes in supervision are contained in the Postgraduate Handbook. The discussion in
this section enables these provisions and related issues to be explored.

3.1 Role and responsibilities of the Principal Supervisor.

3.2 Role and responsibilities of any Co-supervisor.


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3.3 Role and responsibilities of the student.

3.4 Other comments:




4.0 Project Planning and Milestone Setting
Note: Details of what to do in the event that the student wishes to change research topic or
thesis title are contained in the Postgraduate Handbook.

4.1 What is a project plan and research timetable?

4.2 When is the initial project plan and research timetable to be submitted and how often are
progress reports expected to be submitted to the supervisors?


4.3 How are changes on the project plan and research milestones to be agreed upon? (E.g.
Student to submit written report to Principal supervisor monthly for discussion at next
scheduled meeting, written comments to be provided within 7 days of receipt by Principal
Supervisor).


4.4 What measures are to be taken if the expectations in the timetable are not met?

Student: ____________________________________________________________________

Supervisors: _________________________________________________________________

4.5 When is the research proposal to be finalised?


4.6 Other comments:




5.0 Publications and Intellectual Property
Note: There are sections in the Postgraduate Handbook regarding Publications and
Intellectual property. The discussions in this section should be made in the context of that
information.
5.1 What arrangements are in place to facilitate publication or conference presentations by the
student during the course of the candidature?

___________________________________________________________________________




University of New England                       72          Postgraduate Research Degree Handbook
5.2 What is the process for determining sole authorship, ordering of authors in any paper
published?


5.3 What are some of the sources of information on writing a paper and what is the role of the
supervisors?


5.4 Intellectual property should be identified as soon as possible in the project and registered
with the University’s Intellectual Property Officer (currently the Pro Vice-Chancellor
(Research & Development). The form for registering Intellectual Property can be obtained
from the Research Services Office (telephone 02 6773 2398).

5.5 What is intellectual Property and why is it important?


5.6 Use and acknowledgement of the work of others so as to avoid plagiarism. What is
plagiarism and what happens if it is detected?


5.7 UNE has a policy on Intellectual Property. What is this about?


5.8 Other comments:




6.0 Ethics Approval

6.1 Is the student’s research project likely to require approval of the University’s Ethics
Committee? If “yes” when should the student be seeking the approval?


6.2 Are there any other approvals, permits or permissions that may be required? If “yes” when
should these be pursued and how should the student go about obtaining them?


6.3 Other comments:




7.0 Seminar and Other Presentation Opportunities

7.1 When will the seminar presentation in the School / Centre be required?



University of New England                     73             Postgraduate Research Degree Handbook
7.2 What other opportunities exist for presentation, e.g. conferences?


7.3. Are there sources of funding available for attendance at conferences or other travel?
(Information on scholarships for travel and short-term attachment should be directed to the
Postgraduate Scholarships Officer in the Research Services Office – telephone 02 6773 3571).

___________________________________________________________________________

7.4 Other comments:




8.0 Agreement



Student’s signature: _____________________________________ Date: ________________


Principal Supervisor’s signature: __________________________ Date: _________________


Co-supervisor’s signature: _______________________________ Date: _________________




University of New England                     74             Postgraduate Research Degree Handbook

								
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