JOINT DOCTOR OF PHILOSOPHY DEGREE GUIDELINES

Date approved:	10 June 2011	Date Guidelines will take effect:	Immediately	Date of Next Review:	December 2013
Approved by:	University Council
Custodian title & e-mail address:	Director, Research Student Centre research_student_centre@UOW.edu.au
Author:	Director, Research Student Centre
Responsible Faculty/ Division & Unit:	Research Student Centre
Supporting documents, procedures & forms of these guidelines:	UOW Joint PhD Agreement Proposal Form (Appendix)
References & Legislation:	Joint PhD Agreements Policy
Audience:	Public – accessible to anyone
Expiry Date of Guidelines:	Not applicable

• 1 Introduction / Background 3
• 2 Scope / Purpose 3
• 3 Definitions 3
• 4 Overarching Criteria for a Joint PhD Agreement 3
• 5 Fee Arrangements 3
• 6 Budget 4
• 7 Student Progress Reporting 4
• 8 Intellectual Property 4
• 9 Ethics Clearances 4
• 10 Thesis Examination 4
• 11 Agreement Review 4
• 12 Approval 4
• 13 Roles & Responsibilities 5
• 14 Version Control Table 5
• UOW Joint PhD Agreement Proposal Form 6

1 Introduction / Background

• 1. These guidelines are to be considered during the establishment of a Joint PhD Agreement and when completing a Joint PhD Agreement Proposal. The Joint PhD Agreements Policy and any relevant Ministerial Regulations any proposed overseas country should also be referred to. For further advice contact the Research Student Centre.
• 2. Following approval of the Joint PhD Agreement Proposal, a Joint PhD Agreement will be drawn up by the Legal and Commercial Unit, in liaison with the Research Student Centre.

2 Scope / Purpose

3 Definitions

4 Overarching Criteria for a Joint PhD Agreement

• 1. Approval for a Joint PhD agreement will only be given if the agreement furthers UOW’s research mission. Agreements will only be approved with an institution that has an international reputation at least equal to that of UOW.
• 2. Students enrolled under Joint PhD agreements are to be of outstanding ability and are expected to produce extremely high quality work that makes an original contribution to knowledge.
• 3. To initiate the process UOW supervisors must complete a Joint PhD Agreement Proposal Form. Once approved by the Faculty Dean, the Joint PhD Agreement Proposal Form is to be forwarded to the Director, Research Student Centre, who will manage the approval process and any subsequent negotiations with the overseas institution, in consultation with the Faculty.
• 4. Joint PhD agreements will be prepared by the Legal and Commercial Unit at UOW must be signed off by the Faculty Dean and the Dean of Research. Once approved by UOW they must also be submitted to the relevant overseas institution who are responsible for any government or statutory registrations required in their home country.
• 5. In general, students must satisfy the requirements of both UOW and the partner University with regard to enrolment, progression and reviews of progress, thesis submission and examination, intellectual property agreements and ethical clearances. Agreement on these processes must be obtained prior to submission of the proposal for UOW approval. Wherever possible, the processes of both institutions should be aligned to avoid unnecessary duplication and burdensome requirements on students.
• 6. If the student is to have access restricted in any way to standard UOW enrolment procedures this must be itemised on the Joint PhD Agreement Proposal Form (e.g. if the student is not permitted to take leave from the program for any reason except on medical or pregnancy grounds or to vary his/her enrolment from full to part-time etc).

5 Fee Arrangements

• 1. The student will be enrolled at both institutions. Fees are payable at one institution only (normally the home institution).
• 2. If the candidate is a UOW Domestic Student, they will either be funded by the Research Training Scheme or be granted a tuition fee exemption scholarship.
• 3. If the candidate is a UOW International Student, UOW international tuition fees will be levied on the student or the supervisor may apply for a tuition fee exemption scholarship. This will apply to all UOW international students that select UOW as their home institution. Students receiving a UOW supported stipend must select UOW as their home institution.
• 4. If the student selects the overseas institution as the home institution, tuition fees will be levied by the overseas institution as appropriate.

6 Budget

• 1. A detailed budget must be provided on the Joint PhD Agreement Proposal Form. Items to be included are:
• a. arrangements for scholarships and other allowances, and travel support for candidate
• b. arrangements for payment of visas and medical insurance, if these are not to be the student’s responsibility
• c. funding arrangements for supervisors/examiners
• d. additional funding for the thesis examination, if appropriate
• e. costs of specialist equipment and consumables

7 Student Progress Reporting

• 1. Where UOW is the Home institution UOW reporting and progress procedures will be followed.
  The Joint PhD Agreement must include details of the progress review procedures agreed with the partner institution, including what language the reviews will be conducted in. Unless alternative arrangements are prescribed in the Joint Agreement, hosted students will also follow UOW reporting and progress procedures while they are enrolled at UOW.
• 2. The Joint PhD Agreement should describe the procedure that will be put in place to reach a decision on the student’s candidature should progress be deemed to be unsatisfactory at the overseas institution.

8 Intellectual Property

• 1. The proposal should outline arrangements for copyright and intellectual property. Evidence of any agreement reached between the two institutions should be attached.

9 Ethics Clearances

• 1. The proposal should outline arrangements for dealing with Ethics approvals and should cover: whether the relevant UOW Ethics Committee has been consulted (provide details), and whether the equivalent offices at the partner institution have been consulted. Evidence of any agreement reached between the two institutions should be attached.

10 Thesis Examination

• 1. The thesis examination must meet the requirements of both institutions. UOW will require a written evaluation of the thesis by 2 examiners (both external to UOW) as outlined in Section 10. Of the UOW Course Rules. UOW does not permit supervisors to be examiners. The agreement can make provision to use common examiners, and share examiners’ reports if appropriate.
• 2. Some overseas Governments may determined that the examination of doctoral theses is by way of an oral defence by a jury selected by the student’s institution. Under a Joint HDR agreement, the selection of the jury would be undertaken by both institutions. The oral defence may be conducted by video or audio conferencing.

11 Agreement Review

• 1. Monitoring of the agreement should be constant during the life of the agreement. The proposal should specify the review date and procedures for termination of the agreement.

12 Approval

• 1. Joint PhD Agreement Proposals must be signed off by the Head of Unit and the Dean, before approval by the Dean of Research.
• 2. Once approved, the Joint PhD Agreement, drawn up by the Legal and Commercial Unit, must be signed off by the Dean of Research and the appropriate officers at the Overseas institution. The agreement must be submitted (by the overseas institution) to the any relevant statutory authority required by that country’s government regulations.

13 Roles & Responsibilities

• 1. The roles and responsibilities identified in these guidelines are to be referred and adhered to by all UOW staff and students when establishing and/or managing a Joint PhD Agreement.

14 Version Control Table

Version Control	Date Effective	Approved By	Amendment
1	10 June 2011	University Council	New Guidelines replacing rescinded Cotutelle Guidelines

UOW Joint PhD Agreement Proposal Form

Before completing this form please refer to the UOW Policy on Joint PhD Degree Agreements, UOW Joint PhD agreement Guidelines and any relevant overseas regulations. Please attach documents as appropriate. For further advice contact the Research Student Centre.

Student Name:

UOW Student Number:

Participating UOW Department(s)/School(s)/Academic Unit(s): Participating Partner Institution and Academic Unit(s): [Specify full legal name and title and mailing address]

Please Indicate whether UOW will be at the Home (primary) or Partner/Host (secondary) institution of enrolment: p Home p Partner/Host

UOW School/Department and name and contact details of the primary proposer of the Joint HDR degree Agreement: Contact Name: Position: Telephone: Facsimile: Email: Address:

Proposed partner institution and school / department: Contact Name: Position: Telephone: Facsimile: Email: Address:

Description of pre-existing and ongoing research collaboration between the two schools/departments including any existing Joint PhD Agreements: [Include an explanation of how the Joint HDR Agreement will benefit UOW/further UOW’s mission]

Evidence that partner institution has an international reputation at least equal to that of UOW:

Proposed Research topic: [No more than 300 words – include a brief outline of any experimentation procedures and specify any specialist equipment that will be needed]

Evidence of willingness of partner institution to enter into a Joint HDR Agreement with UOW and why a jointly awarded PhD would enhance the research:

Proposed supervisor and co-supervisor at UOW: Supervisor’s Name: Supervisor’s Contact Phone: Supervisor’s Contact Email: Supervisor’s Signature: Date: Co-Supervisor’s Namei: Co-Supervisor’s Contact Phone: Co-Supervisor’s Contact Email: Co-Supervisor’s Signature: Date:

Proposed supervisor [and co-supervisor] at partner institution: Supervisor’s Name: Supervisor’s Location: Supervisor’s Qualifications: Supervisor’s Contact Phone: Supervisor’s Contact Email: Supervisor’s Signature: Date:

Proposed periods of residence at each institution: [Candidature must be divided between the two institutions with a minimum of one full-time year enrolled at each university. Please provide an indicative timetable for candidature at both institutions].

Arrangements for fees:

Budget: [Include any support for the candidature, funding arrangements for supervisors and examiners, and if appropriate, any costs of any specialist equipment and consumables that will be required].

Arrangements for the review of the student’s progress:

Intellectual Property arrangements:

Ethics Clearances:

Proposed Language of Thesis: [If the Thesis is to be written in French a summary in English must be provided at the time of submission. The abstract must be provided in both languages and included in the Thesis].

Proposed Thesis examination procedures:

Agreement review: [How will the agreement be monitored by UOW and the partner institution; what are the reporting arrangements between the 2 institutions; how can one institution withdraw from the agreement; specify the date when the agreement will terminate and how it can be renewed].

Other Comments:

Dean’s certification:

I support this application and recommend it for approval to the Dean of Research

Name: …………………………………………………………..Signed:……………………………………………….

.

Dean of Research Approval:

Approved: YES NO

Signed:………………………………………………. Date:………/……./………………

ⁱ Compulsory only for students for which UOW is the Home institution