Graduate Research and Supervision Policy

1. Purpose

1.1 The Graduate Research and Supervision Policy (the policy) outlines the requirements for managing and supervising research undertaken as part of a graduate research degree at UTS. The policy supports section 11, Student Rules.

2. Scope

2.1 This policy applies to: 

1. graduate research students (hereafter students), and
2. staff and affiliates acting in a supervisory capacity (hereafter supervisors).

3. Principles

3.1 UTS is committed to the principles outlined in the Australian Code for the Responsible Conduct of Research (the Australian Code).

3.2 All students and supervisors must comply with:

1. the Australian Code
2. the Student Rules (in particular, section 11) and UTS policies and procedures (refer Policies)
3. procedures that manage graduate research degrees and research degree candidature (refer Policies, guides and forms), and
4. the Delegations.

3.3 The development of research skills and research integrity is considered part of a student’s training at UTS.

3.4 To support student safety, and ensure quality supervisory arrangements, all supervisors at UTS must be registered in line with this policy. 

4. Policy statements

Supervision requirements

4.1 A graduate research degree is a period of supervised research. Supervision is continuous throughout a student’s candidature.

4.2 Faculties and institutes (hereafter faculties) are responsible for:

1. providing students with appropriately qualified and trained supervisors, and
2. establishing their own internal authorities in support of students (which must comply with university-level rules and policies), including, for example, faculty-specific procedures for setting limits on the number of students allocated to a supervisor at one time.

4.3 All potential supervisors (including supervisors who are external to UTS) must be assessed before being registered on the UTS graduate research supervisor register (the register). The registration assessment includes: 

1. ensuring that potential supervisors satisfy all conditions for registration in accordance with the Supervisor register protocol (the protocol) 
2. reviewing all previous due diligence processes, ensuring appropriate probity screening or background checks have been completed 
3. ensuring any declarations under the Gender-based Violence Prevention and Response Policy have been made and appropriately managed, and 
4. undertaking any other checks required to ensure academic and behavioural integrity. 

4.4 UTS recognises that students can benefit from having a variety of experts on their supervisory panel. Registered supervisors may include UTS academic staff, external academics, UTS emeritus award holders, UTS adjunct (academic) title holders, visiting academics, clinical title holders, UTS professional staff and any person with relevant and demonstrated expertise as detailed in the protocol.

4.5 UTS has 4 graduate research supervisor roles (refer Definitions):

1. primary supervisor
2. joint supervisor
3. secondary supervisor
4. assistant supervisor.

4.6 All students will be supervised by a panel that includes at least 2 supervisors, including a category 1 supervisor (refer the protocol). The panel must comprise:

1. a primary supervisor and a joint supervisor, or
2. a primary supervisor and a secondary supervisor.

4.7 The panel may also include additional secondary supervisors and/or assistant supervisors. 

4.8 The Pro Vice-Chancellor (Higher Degree by Research) is responsible for approving all supervisory arrangements in line with Rule 11.11. Changes to a supervisory panel are permitted but must be approved by the relevant school higher degree by research (HDR) coordinator and made in consultation with all parties (refer Rule 11.11). 

Supervisor responsibilities

4.9 Supervisors must provide advice to students on complying with their responsibilities as students of UTS (refer Student rights and responsibilities).

4.10 Supervisors will support and monitor students by:

1. encouraging engagement with the research community
2. providing timely and critical feedback on written drafts, including theses
3. working with students to design a graduate research study plan (GRSP)
4. ensuring any accessibility needs and reasonable adjustments are met (refer Accessibility and Inclusion Policy and the Disability Standards for Education 2005 (issued under the Disability Discrimination Act 1992 (Cth))
5. supporting students through the thesis writing and examination processes
6. providing guidance in all research-related activities
7. overseeing all stages of the student’s candidature
8. ensuring frequent and continuous communication, and
9. assisting students in developing the necessary skills to complete their graduate research degree and future research activities, including being mindful of the potential for external influence on their research.

4.11 In addition to the responsibilities listed in statements 4.9 and 4.10, primary supervisors must:

1. liaise with and make recommendations to the appropriate school HDR coordinator and/or the faculty HDR director on any matters relevant to the student’s candidature
2. provide fair and accurate progress reports to the school HDR coordinator
3. act as a primary liaison point with students
4. liaise with panel members as appropriate, and
5. organise candidature assessments.

4.12 Supervisors must comply with all UTS policies, including policies that guide academic and behavioural integrity (for example, the Code of Conduct, the Equity, Inclusion and Respect Policy, the Gender-based Violence Prevention and Response Policy and the Conflicts of Interest Disclosure Policy). In addition, supervisors must act in accordance with the expectations outlined in the Universities Australia principles for respectful supervisory relationships (available at Universities Australia: Respect.Now.Always) and the requirements of the Equity, Inclusion and Respect Policy in relation to appropriate personal relationships.

4.13 Sexual or romantic relationships between supervisors and students is prohibited in line with the Equity, Inclusion and Respect Policy. Any personal relationship, including sexual or romantic relationships (current or previous) between a supervisor and a student, is considered a conflict of interest and must be disclosed in line with the Conflicts of Interest Disclosure Policy and a management plan must be put in place. 

Student rights and responsibilities

4.14 Students must be aware of and comply with:

1. the Australian Code
2. the Equity, Inclusion and Respect Policy and the Universities Australia principles for respectful supervisory relationships (available at Universities Australia: Respect.Now.Always)
3. the Student Rules and Student Conduct Rules (in particular, section 11)
4. all UTS policies and procedures, in particular the Student Rights and Responsibilities Policy, the Research Policy, the Acceptable Use of Information Technology Resources Policy, the Information Security Policy, the Student Travel and Expenses Policy and all research-related policies and procedures
5. legislation and other obligations and requirements relevant to their research area
6. any agreements associated with the student’s candidature and/or research project, and
7. any other documents or procedures required as part of a student’s candidature (refer Policies, guides and forms).

4.15 Students who are also UTS staff members must comply with the Code of Conduct as a normal condition of their employment.

4.16 Students must work with their supervisors to develop their GRSP and must maintain the progress of their work in accordance with their GRSP and ongoing arrangements with the supervisory panel.

4.17 In order to fulfil the period of candidature in accordance with Rule 11.7, it is expected that students dedicate at least 35 hours a week to their graduate research degree (if enrolled full-time) or a minimum of 17.5 hours a week (if enrolled part-time).

4.18 In fulfilling their ethical responsibilities, students must:

1. be aware of the university’s position and policies in relation to research ethics and research integrity (refer Research Policy)
2. make regular contact with supervisors and respond to communication and feedback
3. ask for support when needed, in particular where there are factors that might impact their research studies or candidature
4. raise difficulties arising from their research with their primary supervisor to seek resolution as soon as practicable
5. seek to participate in peer review processes where a research project receives public funding
6. disclose any actual, perceived or potential conflicts of interest as soon as they become apparent
7. be mindful of the potential for external influence on their research
8. comply with statement 4.14.

4.19 In addition to the rights outlined in the Student Rights and Responsibilities Policy, students have a right to participate in the:

1. negotiation of their research topic (in the constraints of faculty resources and expertise)
2. development of their GRSP and negotiation of the stages of their research degree.

4.20 Changes to candidature are permitted (for example, course transfer, full-time to part-time attendance mode, leave of absence, end of or changes to supervisory arrangements) and must be discussed with supervisors or an appropriate staff member as soon as any issues arise. Changes to candidature must be managed in line with section 11, Student Rules and procedures at Policies, guides and forms.

Progress, theses and examination

4.21 The GRSP must be drafted and agreed between supervisors and students in line with section 11, Student Rules and procedures at Policies, guides and forms.

4.22 Students must maintain satisfactory progress at all stages of their research degree to ensure continuation and/or completion of their candidature, in line with the Student Rules and the goals outlined in the GRSP. Extension of candidature may only be requested and approved in line with Rule 11.8.

4.23 Theses will be managed, stored and published in line with section 11, Student Rules, the Open Access Policy, the Records Management Policy and the Delegations.

Dispute management

4.24 UTS acknowledges that disputes may arise between the supervisor and the student. Where students have any issue or dispute they should:

1. advise their primary supervisor immediately of any concerns regarding the role or potential role of any person as their supervisor or examiner
2. contact the school HDR coordinator and/or the faculty HDR director where the concerns are about a primary supervisor, and
3. contact the Graduate Research School where an issue persists or is not addressed by the processes above.

4.25 Supervisors must report any potential research misconduct by a student to the relevant school HDR coordinator. Where the student is also a staff member, supervisors must report any potential research misconduct in accordance with the Research Policy.

Conflicts of interest

4.27 Conflicts of interest that arise between a student and any supervisory panel member must be disclosed as follows: 

1. Concerns regarding the role or potential role of any person as their supervisor or examiner should immediately be raised with the primary supervisor for disclosure and management in line with the Conflicts of Interest Disclosure Policy.
2. Where the concern or conflict relates to the primary supervisor, the student must disclose the conflict to the school HDR coordinator and/or the faculty HDR director for advice and management in line with the Conflicts of Interest Disclosure Policy.
3. Where a conflict persists, or is not addressed as required, the student is encouraged to contact the Graduate Research School or make a complaint via the Student Complaints Policy.

5. Roles and responsibilities

5.1 Policy owner: The Deputy Vice-Chancellor (Research) is responsible for policy enforcement and compliance, ensuring its principles and statements are observed. The Deputy Vice-Chancellor (Research) is also responsible for approval of any associated university-level procedures.

5.2 Policy contact: The Pro Vice-Chancellor (Higher Degree by Research) is responsible for implementing this policy and acting as a primary point of contact for advice.

5.3 Implementation and governance roles:

Supervisors are responsible for providing guidance and advice to students throughout their candidature as outlined in this policy and any associated procedures.

Graduate research students are responsible for meeting professional standards in conducting research by adhering to all relevant university rules, policies, procedures and guidelines, as well as national codes and statements on research conduct and practice. Students are responsible for seeking guidance and training as outlined in this policy.

The Graduate Research School is responsible for the development of procedures to manage graduate research degrees, research degree candidature, and thesis presentation, submission and examination (refer Policies, guides and forms) and the management of the graduate research supervisor register.

The Graduate Research Board is responsible for approving the Supervisor register protocol.

6. Definitions

The following definitions apply for this policy and all associated procedures. Definitions in Schedule 1, Student Rules also apply. Definitions in the singular also include the plural meaning of the word.

Assistant supervisor means a person holding a non-academic position who provides specialist research knowledge, expertise and advice to the student.

Conflict of interest is defined in the Conflicts of Interest Disclosure Policy. 

External supervisor means a person external to the university (that is, not a UTS salaried staff member) who may be appointed to the supervisory panel to provide specialist experience and advice to the student.

Graduate research study plan (GRSP) means a formal study plan agreed between supervisors and graduate research students that identifies structures, stages, supports and development needs and tracks progress from enrolment to completion.

Joint supervisor means an academic supervisor who takes equal academic responsibility as the primary supervisor for the student’s candidature. The joint supervisor is a UTS academic staff member.

Primary supervisor means the lead (first) academic supervisor who takes primary academic and administrative responsibility for the student’s candidature. The primary supervisor is a UTS academic staff member.

Probity screening is defined in the Recruitment and Appointment Policy. 

Research integrity is defined in the Research Policy.

Secondary supervisor means an academic supervisor who contributes specific expertise to the academic guidance and supervision of the student. The secondary supervisor may be a UTS academic staff member, UTS emeritus award holder, UTS adjunct (academic) title holder, visiting academic, clinical title holder or may be employed in an academic role at another higher education institution.

Student, for the purpose of this policy, means graduate research student.

Supervisory panel is defined in Schedule 1, Student Rules.