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Joint Higher Degrees by Research Guidelines

Joint Higher Degrees by Research GuidelinesMonth, 2018

Contents1 Executive Summary.......................................................................................................22 More information............................................................................................................23 Objectives of Joint Higher Degrees by Research..........................................................24 Financial Considerations...............................................................................................35 Structure of Joint Higher Degree by Research Agreements.........................................35.1 Memorandum of Understanding/Letter of Intent............................................................35.2 Joint Higher Degree by Research Agreements.............................................................45.3 Candidate Agreements..................................................................................................45.4 Quality Assurance Assessments...................................................................................56 Managing Candidature..................................................................................................66.1 Offer, Admission and Enrolment...................................................................................66.2 Candidature Requirements............................................................................................76.3 Examinations.................................................................................................................77 Annual Audits of Joint Higher Degrees by Research....................................................78 Reviewing Joint Higher Degrees by Research..............................................................88.1 Purpose.........................................................................................................................88.2 Method...........................................................................................................................89 Renewing Joint Higher Degree by Research Agreements............................................910 Glossary........................................................................................................................911 Versioning....................................................................................................................10

Responsible Officer Deputy Vice-Chancellor (Research)Approved by Deputy Vice-Chancellor (Research)Approved and commenced Month, 2018Review by Month, 2018Relevant Policy or Procedure the Guideline supports

Joint Higher Degrees by Research Procedure

Responsible Organisational Unit Division of Research

1 Joint Higher Degrees by Research Guidelines (Month, 2018


1 Executive Summary

The purpose of these Guidelines is to provide additional information and context to support the establishment and management of Joint Higher Degrees by Research.

2 More information

For further information, contact the Division of Research at [email protected].

3 Objectives of Joint Higher Degrees by Research

As a research-intensive university engaged in a range of collaborative research activities, the University of Tasmania acknowledges the benefits of collaborative research programs for Higher Degree by Research candidates, academic staff and the University.

Joint Higher Degrees by Research provide an integrated researcher training experience that provides candidates with access to complementary expertise and facilities while working on a jointly conceived and supervised project.

Joint Higher Degrees by Research are a type of Higher Degree by Research Third Party Arrangement whereby candidature is undertaken, supervised and administered by the University of Tasmania and a Partner Institution. Joint Higher Degrees by Research are established by a formal agreement that recognises that the degree will be awarded by both institutions.

The purpose of Joint Higher Degrees by Research is to:

strengthen the University’s research collaborations by establishing links and partnerships with domestic or international research institutions

facilitate researcher mobility and enable candidates to experience multiple research environments and benefit from the expertise, facilities and researcher training opportunities in other institutions

facilitate international research experiences for candidates and an opportunity to develop international linkages at an early stage in their careers, and

establish a mechanism to promote the recruitment of high quality domestic and international candidates.

The University will only offer Joint Higher Degrees by Research where there is demonstrable benefit to the University and its candidates. The University will enter into this type of program where:

there is evidence of existing or developing research links between the University and the Partner Institution that will benefit from the collaboration

it provides enhanced opportunities for research cooperation between the institutions and the academic supervisors involved


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there are strong academic reasons for completing a doctoral degree at both institutions and the arrangement will provide a significantly improved researcher training environment for candidates

the Partner Institution has research and researcher training standards at least equivalent to those of the University of Tasmania, and

there are mechanisms in place to assure the quality of the researcher training.

4 Financial Considerations

Under Joint Higher Degree by Research Agreements and Candidate Agreements:

the Host Institution always provides a 100% tuition fee scholarship to the candidate (for the duration of their candidature, in accordance with Rule 4), and

the candidate only pays tuition fees to the Home Institution.

Other financial support in the form of scholarships, project costs and travel expenses, are to be negotiated between the University and the Partner Institution on a case-by-case basis with details finalised during negotiations and detailed in the Candidate Agreement. Note that financial support may be co-funded by Colleges within the University, and/or by the University and the Partner Institution.

Responsibility for all other costs associated with the Joint Higher Degree by Research (such as airfares, research project costs, overseas student health cover, living allowance scholarships) must be agreed to by the University and the Partner Institution and detailed in the Candidate Agreement.

Conversations regarding financial support should be instigated within the University and with the Partner Institution before the Candidate Agreement negotiations commence.

The University of Tasmania receives full completion funding for each candidate who completes their candidature under a Joint Higher Degree by Research with an international Partner Institution.

Completion funding for candidates who complete their candidature under a Joint Higher Degree by Research with a domestic Partner Institution is divided between the University of Tasmania and the Partner Institution. The split of completion funding is agreed to on a case-by-case basis for each candidate and is detailed in the Candidate Agreement.

5 Structure of Joint Higher Degree by Research Agreements

5.1 Memorandum of Understanding/Letter of Intent

The purpose of a Memorandum of Understanding/Letter of Intent is to establish the relationship between the University and the Partner Institution. The Memorandum of Understanding/Letter of Intent records both parties’ intentions to collaborate. The collaboration may be related to teaching, research or a combination of both areas. Joint Higher Degrees by Research may be one of several methods of collaboration incorporated into the Memorandum of Understanding/Letter of Intent.



The Global Division will determine on a case-by-case basis for each proposed international Partner Institution whether a Memorandum of Understanding/Letter of Intent is required. When a Memorandum of Understanding/Letter of Intent with an international Partner Institution is required by the University or the Partner Institution, it will be established in accordance with the Global Division’s policies and procedures.

Whether or not a Memorandum of Understanding/Letter of Intent with a domestic Partner Institution is required will be determined by the Research Division in consultation with the Partner Institution on a case-by-case basis.

5.2 Joint Higher Degree by Research Agreements

The purpose of Joint Higher Degree by Research Agreements is to outline the details and special conditions of Joint Higher Degrees by Research that will apply to all candidates studying under the agreement. The specific terms for each candidate are established through Schedule 2 to the Joint Higher Degree by Research Agreement (referred to as the Candidate Agreement, discussed below).

The following matters must be clarified in the Joint Higher Degree by Research Agreement:

details of the Dual Award, Cotutelle or Jointly-Badged Program

terms relating to the commencement, termination and variation of the Joint Higher Degree by Research Agreement

conditions relating to the selection of candidates, and

details about how the program will be managed.

The Joint Higher Degree by Research Agreement may also outline financial and scholarship arrangements, how time will be divided between institutions and general examination procedures. Where these matters are not clarified in the Joint Higher Degree by Research Agreement, they must be specified in the Candidate Agreement.

Note that agreements for Cotutelle Programs combine the Joint Higher Degree by Research Agreement and Candidate Agreement into one agreement for each candidate.

5.3 Candidate Agreements

The purpose of the Candidate Agreement is to outline the specific details and conditions for each candidate enrolled in a Joint Higher Degree by Research.

Unless addressed in the Joint Higher Degree by Research Agreement, the following matters must be specified in the Candidate Agreement:

the identification of the Home and Host Institution. The Home Institution will normally be the institution where the candidate is located for a greater proportion of time

the amount of time to be spent by the candidate at each institution, and the process for ensuring the candidate’s leave entitlements are calculated and apportioned accurately



financial arrangements including payment of tuition fees, living support stipends, travel and accommodation support, and research support

the provision of and access to equipment, facilities, and resources

arrangements for compliance with the Australian Code for the Responsible Conduct of Research and other accepted international research integrity compliance frameworks such as the Singapore Statement on Research Integrity, that satisfy both the Home and Host Institutions’ requirements

supervisory arrangements

processes for the submission of candidate grievances and instances of misconduct

progress, review and monitoring arrangements

any additional assessment requirements

submission and examination arrangements

intellectual property and copyright arrangements, and

for domestic Joint Higher Degrees by Research, the proportion of each successful completion to be reported by the Home and Host Institution.

Where the rules that govern candidature differ between institutions, the Candidate Agreement should also outline which rule/s will prevail for the candidate.

5.4 Quality Assurance Assessments

Under the Higher Education Standards Framework (Threshold Standards) 2015, the University is directly responsible for ensuring the academic standard and integrity of any award conferred in conjunction with a third party and for ensuring compliance of that course of study with the Threshold Standards, both at the University and at the Partner Institution.

Quality assurance assessments are conducted before each Joint Higher Degree by Research Agreement is signed to ensure that:

the quality of researcher training at the Partner Institution, specifically within the applicable discipline area, is acceptable

the Partner Institution’s researcher training policies and rules are at least of an equivalent standard to those at the University, and

a duty of care towards candidates is maintained, regardless of whether they are located at the University or the Partner Institution.

The quality of researcher training at a given Partner Institution takes into consideration the following:

international rankings (for the Partner Institution and the applicable discipline/s)



research metrics (including outputs in top citation percentiles, publications in top journal percentiles and international collaborations), and

retractions.

No single metric or ranking is intended to be definitive, rather, they each help to form part of an overall assessment of the quality of the Partner Institution. That said, where a Partner Institution has low international rankings, it is the responsibility of the proposer of the agreement to make a strong case regarding the benefits of the partnership for the University, discipline area, supervisors and candidates.

6 Managing Candidature

6.1 Offer, Admission and Enrolment

The timing of making an offer to candidates depends on whether they commence at the University of Tasmania or the Partner Institution. Note that the first institution of enrolment is usually, but not always, defined as the Home Institution.

Candidates who are enrolled at the University of Tasmania first will be issued with an offer, and enrolled, in the usual way, in accordance with the Higher Degree by Research Admissions and Enrolment Policy.

It is not uncommon for Candidates to make the decision to participate in a Joint Higher Degree by Research after commencing their candidature. These Candidates have up to twelve months from the commencement of their candidature to finalise their Candidate Agreement (subject to an extension of this twelve month period granted by the Dean of Graduate Research).

Candidates should be enrolled at both institutions as soon as possible after both offers are accepted and the Candidate Agreement is finalised in order to formalise the joint enrolment and joint supervision as early as possible. Candidates should not wait until they will be on campus at the second institution of enrolment before finalising their enrolment.

The Graduate Research Office will issue international candidates with a Confirmation of Enrolment (CoE) after they have accepted their offer of enrolment, for the purposes of applying to the Department of Immigration and Border Protection for a student visa. The CoE will include a comment noting that the candidate is participating in a Joint Higher Degree by Research between the University and the Partner Institution.

When international candidates participating in Joint Higher Degrees by Research are planning on visiting the University of Tasmania more than once, their CoE will be issued to cover both/all visits (or the duration of candidature if necessary). This allows for flexibility in candidates’ travel schedules between institutions for the duration of candidature.

6.2 Candidature Requirements

Details of how candidates will meet candidature requirements must be approved by both institutions and outlined in the Candidate Agreement to provide certainty to the candidate and supervisors.



Coursework requirements must be negotiated between the University and the Partner Institution on a case-by-case basis for each candidate. The intention is that each candidate is able to meet the requirements of both, without these combined requirements being more onerous than those for candidates not participating in Joint Higher Degrees by Research.

6.3 Examinations

The thesis must be in English, with an extended abstract provided in the language of the Partner Institution if its language of instruction is not English.

If the Partner Institution requires that a viva voce be completed, this may be in the language of the Partner Institution (that is, in a language other than English).

The examination requirements of both the University and the Partner Institution must be discussed during negotiations, with the Joint Higher Degree by Research Agreement and Candidate Agreements providing details regarding agreed processes for the examination of candidates.

The Graduate Research Office must be consulted during negotiations relating to examination procedures.

The University and the Partner Institution will agree on an examination process that satisfies the requirements of each institution’s policy. The examination process will normally be administered by the Home Institution and must be of a standard equivalent to that required for candidates who are not completing a Joint Higher Degree by Research. If a viva voce will be undertaken, the examination panel must be agreed to by both institutions.

In some instances, each institution may have its own examination committee, with the examination conducted by each institution concurrently. This approach is suitable when the Partner Institution’s examination committee includes the candidate’s supervisor/s.

In both instances, examiners must be appointed by mutual agreement between the Home and Host Institution. At a minimum, two examiners must be external to both the Home and Host Institution. The same external examiners must be used by both institutions.

7 Annual Audits of Joint Higher Degrees by Research

Annual audits of Joint Higher Degrees by Research will be run alongside annual reviews of progress in order to ensure that candidates, supervisors and University and Partner Institution staff are complying with the applicable agreement/s and to identify any issues that might require action. A summary of questions is attached (Appendix A).

8 Reviewing Joint Higher Degrees by Research

Reviews of Joint Higher Degrees by Research will differ depending on the type of agreement:

Reviews of Dual Award and Jointly-Badged Agreements will be conducted six months prior to their expiration.



Reviews of Cotutelle partners will be conducted every three years, calculated from the date of the first Cotutelle Agreement.

8.1 Purpose

The purpose of a review is to evaluate the quality and compliance of the Joint Higher Degree by Research Agreement by determining:

to what extent the candidates, supervisors, University and the Partner Institution fulfilled their obligations and adhered to policies and procedures as required under the agreement

whether any financial, reputational, governance or legal risks arose before or during the agreement and how these risks were managed, and

the benefit to the University as measured by the research outcomes and outputs.

8.2 Method

A questionnaire will be sent via an online survey tool to:

candidates and their respective supervisors after each candidate’s graduation, and

University and Partner Institution administrative staff during the agreement review period.

The questions will be revised for appropriateness in each instance. A full list of questions is attached (Appendix B).

Information collated from responses to these questionnaires will be used to summarise the outcomes of the agreement, reflect on the management of quality assurance issues during the life of the agreement, and identify issues that will need to be considered during subsequent negotiations should a renewal be approved.

The Research Division is responsible for:

initiating the review by contacting the Partner Institution, supervisors and candidates

distributing questionnaires to supervisors, candidates and coordinator at the Partner Institution and collating results.

Outcomes of reviews will be reported to the University Research Committee by the Pro Vice-Chancellor (Researcher Development).

9 Renewing Joint Higher Degree by Research Agreements

The outcomes from reviews and quality assurance assessments will inform the University’s decision to renew Dual Award and Jointly-Badged Agreements or to enter into additional Cotutelle Agreements. When Dual Award and Jointly-Badged Agreements are to be renewed, or new Cotutelle Agreements entered into, issues identified during the review will contribute to the negotiation of these new agreements.



The Research Division is responsible for:

making a recommendation to the Pro Vice-Chancellor (Researcher Development) as to:

o whether or not the agreement should be renewed, and

o if it is to be renewed, what issues need to be considered during negotiations, and

advising the Global Division and the Partner Institution of the outcome of the review and of the decision of the Deputy Vice-Chancellor (Research) .

The Pro Vice-Chancellor (Researcher Development) is responsible for endorsing the decision as to the renewal or otherwise of the agreement.

The Deputy Vice-Chancellor (Research) is responsible for approving the decision as to the renewal or otherwise of the agreement and for reporting outcomes of the decision to Associate Deans of Research, Research Degrees Committee, University Research Committee and Academic Senate.

10 Glossary

Term/Acronym DefinitionAssociate Deans of Research

A senior academic staff member appointed to assist the College Executive Dean with the planning, development and management of research and research training in the College/Faculty/Institute.

Candidate Agreement

An agreement between the Candidate and the Home and Host Institutions for the Candidate to enter into a Joint Higher Degree by Research.

Cotutelle Program A Cotutelle Program is a unique Joint Higher Degree by Research program defined under French law.

Dual Award Program A Joint Higher Degree by Research program whereby Candidates under the agreement are awarded a testamur from both the University and the Partner Institution, with each acknowledging the Dual Award Program.

Higher Degree by Research

A Doctor of Philosophy, Professional Doctorate or Master of Research Degree as listed in the University’s Rule 4: Rules of Graduate Research.

Higher Degree by Research Third Party Arrangement

Defined by the Tertiary Education Quality and Standards Agency (TEQSA) as an arrangement whereby the University has, or intends to have, any aspect of its higher education services in relation to its course(s) of study carried out on its behalf through a partner, agent or third party arrangement. A third party, agent or partner arrangement may include, for example: partnerships with other institutions, higher education providers, or entities; the formation of joint ventures or special purpose companies; sub-contracting of services; or franchising arrangements.

Home Institution The institution at which the Candidate is first registered



for study.Host Institution The institution that accepts the Candidate from the Home

Institution for study.Joint Higher Degree by Research

An arrangement between the University and a Partner Institution for the joint administration and award of a doctoral research degree, under which the Candidate is enrolled, supervised and examined by both institutions. It includes Dual Award and Jointly-Badged Programs.

Joint Higher Degree by Research Agreement

An agreement between the University and a Partner Institution to enter into a Joint Higher Degree by Research in respect of one or multiple Candidates.

Jointly-Badged Program

A Joint Higher Degree by Research program whereby Candidates under the agreement are awarded one jointly-badged testamur with the seals of both the Home and Host Institutions.

Letter of Intent A document that outlines the general plans and intentions of the parties. The University’s preference is to use Memorandums of Understanding, but occasionally a Partner Institution will propose a Letter of Intent as an alternative.

Memorandum of Understanding

An agreement between the University and the Partner Institution designed to record the intent of the parties and formalise the partnership.

Organisational Unit College, Faculty, School, Centre, University Institute, other University Entity, Division, Section or University Business Enterprise.

Partner Institution A domestic or foreign university or other educational institution with the power to confer degrees.

Quality Assurance Assessment

A process undertaken for every Joint Higher Degree by Research Agreement that is proposed or Under Review, to identify risks associated with the Joint Higher Degree by Research and to ensure that the rules and policies of the Partner Institution are at least to a standard that is equivalent to that of the University’s.

University University of Tasmania

11 Versioning

Current Version

Version 1 Joint Higher Degrees by Research Guidelines (current document) ; approved xx 2014



Appendix A: Audit Questions

The following table provides an overview of the questions that will be included as part of an annual audit. The questions will be formatted differently when administered to enable respondents to provided feedback about their experience at the University of Tasmania and the Partner Institution separately.

CandidatesHave you received satisfactory orientation services and inductions at the University of Tasmania and the Partner Institution? If not, please provide details.Do you have access to adequate facilities and resources at the University of Tasmania, and the Partner Institution? If not, please provide details.How would you rate the level of communication between you, your supervisor/s at the University of Tasmania and your supervisor/s at the Partner Institution on a scale of 1 to 5 (1 being very poor, and 5 being very good)?Are there any issues relating specifically to the administration of the Joint Higher Degree by Research that are impacting on (or have the potential to impact on) your progression? If yes, please provide details.SupervisorsHave supervisory arrangements changed from those stated in the Candidate Agreement? If yes, please detail changes.

Have there been any changes to the duration of the Candidate’s visits to the University of Tasmania and/or the Partner Institution from those outlined in the Candidate Agreement?

Have there been any departures from the arrangements detailed in Schedule 1 to the Candidate Agreement? If so, please detail these changes.How many meetings between the Candidate and the full supervisory team (from both the University of Tasmania and the Partner Institution) have been held over the past twelve months?How would you rate the level of communication between you, the Candidate and the supervisor/s at the Partner Institution on a scale of 1 to 5 (1 being very poor, and 5 being very good)?Were there any challenges related to conducting these meetings effectively, e.g., as a result of time zones or technology?

Have there been any Candidate complaints or grievances? If yes, please detail how these were managed and whether they have been resolved.Are there any issues relating specifically to the administration of the Joint Higher Degree by Research that are impacting on (or have the potential to impact on) the Candidate’s progression? If yes, please provide details.



Appendix B: Review Questions

Question Candidate Supervisors Third Party: Admin UTAS: Admin

Quality Assurance: GeneralHave any applicable rules or policies from either institution been revised? If so, please provide details.

N/A N/A

How has the arrangement been marketed and promoted? N/A

Do institutional policies, practices and approaches to researcher training support student diversity and create equivalent opportunities for academic success regardless of students’ backgrounds?

N/A

Quality Assurance: Admissions and Enrolment

How would you rate the process of managing the admission and enrolment of candidates on a scale of 1 to 5 (1 being the lowest quality)? Were any problems encountered at UTAS or the Partner Institution?

N/A N/A

Have any English waivers or alternate pathways been required? Elaborate. N/A

Did all candidates enter into a Candidate Agreement within twelve months of commencement of candidature?

N/A N/A N/A

At what stage of candidature were candidates enrolled at the host institution? N/A N/A

Quality Assurance: Confirmation and Progression



How were confirmation of candidature requirements met and was there any duplication for the candidates in meeting the requirements of UTAS and the Partner Institution?

N/A

Were any confirmations of candidature late and, if so, why? N/A

Were regular meetings and annual reviews conducted on time and with the participation of the full supervisory team?

N/A

Were there any challenges related to conducting these meetings effectively, e.g., as a result of time zones or technology?

N/A

What coursework did the candidates complete and which courses were compulsory? Were there any applications for credits/exemptions? If yes, please detail how these were managed.

N/A

Were there any variations to candidate enrolments during candidature and were both institutions notified?

N/A

Has IP been generated that required management beyond the terms of the agreement and how was it managed?

N/A N/A

Did any projects require ethics approvals? If yes, please detail how these were managed. N/A N/A

Were there any issues in relation to academic integrity? If yes, please detail how these were managed.

N/A N/A

Quality Assurance: Support



Have financial support arrangements been equitable between the institutions? N/A N/A

Have there been any candidate complaints or grievances? If yes, please detail how these were managed.

N/A

Were candidates provided with orientation services and inductions at both institutions? N/A

Did candidates have access to adequate facilities and resources at both institutions? N/A

Quality Assurance: Examination and Graduation (complete for each candidate who has graduated)

Did candidates (or their supervisors) notify the UTAS and Partner Institution administration offices of their intention to submit their theses?

N/A

Did candidates submit their theses within the maximum degree period? N/A

Did candidates undertake an oral defence/viva voce? If yes, were these conducted at UTAS or the Partner Institution and did any issues arise?

N/A

Were external examiners appointed and approved by both institutions? N/A

Did theses or examiners’ reports require translation and if so, who paid for this? N/A

Were examiners’ reports made available to both institutions? N/A

Were candidates invited to attend both institutions’ graduation ceremonies? N/A



Did all testamurs acknowledge the Joint Higher Degree by Research arrangement with the text approved in the agreement?

N/A

Quality Assurance: Risk AssessmentsDid any issues that opened either institution up to financial, reputational, governance or legal risk arise before or during the agreement? If so, how were these risks mitigated?

N/A

OutcomesHow many candidates have completed their candidature under the agreement? N/A N/A N/A

How many candidates are currently participating under the agreement? N/A N/A N/A

How many new candidates are estimated to participate within the next twelve months? N/A

How many current and completed candidates were inbound/outbound? N/A N/A N/A

Provide a list of research outputs from the partnership and identify those that were jointly authored.

N/A N/A

Has UTAS gained access to any partners/networks as a result of the partnership that would have been harder to establish without the partnership?

N/A N/A

Were any industry partners involved with research projects conducted under the partnership? Please list them. Have UTAS candidates/researchers gained access to any resources as a result of the partnership?

N/A



Did candidates experience an improved researcher training environment as a result of the partnership?

N/A N/A N/A


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