Governance

Policies and procedures

Policy No.
UP12/11
Function
Teaching And Learning
Authoring Organisational Unit
Graduate Research and Scholarships
Date Approved
04/04/2012 Revised 16/11/2016
Next Review Date
01/06/2017
Approving Body
Academic Council

The University of Western Australia

University Policy on: Graduate Research Training

Purpose of the policy and summary of issues it addresses:

This policy deals with graduate research training at the University of Western Australia and the roles and responsibilities of University staff and students.

The purpose of this policy is to outline the roles and responsibilities of:

  • The Graduate Research School;
  • Heads of School;
  • Graduate Research Coordinators;
  • Advisory Panels;
  • Supervisors of research students; and
  • Students enrolled in higher degrees by research,

during the course of graduate research training.

Definitions:

In this policy:

The Graduate Research School oversees the University's graduate research training activities.

The Board of the Graduate Research School is a committee of Academic Board/Council with a constitution setting out its roles and responsibilities. The Board delegates authority as appropriate to the Dean of Graduate Research School or to the Associate Director, Graduate Research School.

The Dean is the Dean of Graduate Research School, who is responsible to the Deputy Vice Chancellor (Research) for the performance of a range of responsibilities related to the assurance of effective graduate research training at the University.

The Graduate Research School is the section of the University that is responsible for the management and administration of higher degrees by research, other than those managed and administered by faculties, is also responsible for the management and administration of scholarships and provides administrative support to the Board of the Graduate Research School and the Scholarships Committee.

Graduate Research Coordinators are designated academics who have been nominated by the Head of School and approved by the Board of the Graduate Research School to act on behalf of the Head of School on matters pertaining to higher degrees by research.

Advisory Panels may be appointed by Schools to augment and assist the supervisory process and/or assist Graduate Research Coordinators. The structure and membership of advisory panels, and their terms of reference, may vary from School to School.

Supervisor is a person who is formally appointed to provide supervision and advice to a higher degree by research student.

Principal supervisor is the Supervisor who provides primary academic leadership in the supervision of the research project of a higher degree by research student.

Coordinating Supervisor is the supervisor who is primarily responsible for the academic management of the student's program of candidature and ensuring that all administrative and reporting requirements of the supervision are met.

Principal and Coordinating supervisor is a supervisor who is responsible for both the primary academic leadership of the research project and the overall management of the student's program of candidature.

Co-supervisor is a supervisor who is a member of UWA staff and is neither the Principal nor the Coordinating Supervisor.

External supervisor is a supervisor who is not a member of UWA staff and who does not hold formal adjunct, emeritus or honorary research fellow status at UWA.

The UWA Register of Supervisors is the database of higher degrees by research supervisors who meet the eligibility criteria for each category of supervision, that is managed by the Graduate Research School as set out in the "Register of Supervisors - Procedures".

PhD Equivalence for the purpose of supervision of PhD students is where the staff member has undertaken significant independent research over a period of 4 years or more, using up to date knowledge of the field as evidenced by publications or other appropriate scholarly or creative outputs.

School is the UWA School/s or the UWA centre/s in which the student is formally enrolled.

Head of School is either the person appointed or acting in that capacity or the Director of a Centre or other academic unit in which a higher degree by research student is enrolled.

Higher degree by research is a degree at this University that complies with the conditions of the Research Training Scheme.

Student is a person enrolled for a higher degree by research at this University.

The University is the University of Western Australia.

Policy statement:

1 General Principles

1.1 The University recognises that graduate research makes an important contribution to the institution's current research activities and achievements, and that the quality of the graduate research training it offers will have a major impact on its own future research capacity and achievements and those of other leading research institutions.

1.2 All higher degree by research students must be given the opportunity to develop their research potential to the best of their ability during their enrolment, as far as is possible.

2 Regulatory and Quality Assurance

2.1 Graduate Research School

2.1.1 The Graduate Research School is responsible for ensuring the maintenance of high standards in the University's higher degrees by research by monitoring the completion times and rates, quality of supervision and skills acquisition of candidates enrolled in them.

2.2 Head of School

2.2.1 The Head of School must ensure that the University's Statutes, regulations, course rules, faculty rules, and other University policies, procedures and guidelines, as appropriate, are met.

2.3 Graduate Research Coordinators, advisory panels and supervisors

2.3.1 All Graduate Research Coordinators, advisory panels and supervisors must be aware of and act in accordance with the relevant University rules, regulations, policies and procedures.

2.3.2 All Graduate Research Coordinators, advisory panels and supervisors must fully undertake their responsibilities and ensure that they fulfil all academic and administrative requirements promptly and satisfactorily.

2.3.3 All supervisors must develop and maintain their knowledge and understanding of the legislative, academic and administrative requirements of supervision.

2.4 Students

2.4.1 A student must acquaint him/herself of, and act in accordance, with:

(a) all relevant University rules, regulations, policies and procedures; and

(b) the rules governing the degree course in which they are enrolled.

3 Research Integrity, Safety and Intellectual Property

3.1 Head of School

3.1.1 The Head of School must ensure that each student is provided with:

(a) written guidelines concerning ethical and safety procedures appropriate to the discipline; and

(b) adequate guidance and assistance in the preparation of applications for ethics and other approvals.

3.2 Graduate Research Coordinator

3.2.1 The Graduate Research Coordinator must assist with dissemination of information concerning ethical and safety procedures appropriate to the discipline, and Intellectual Property Regulations.

3.3 Advisory panels and supervisors

3.3.1 Advisory panels and supervisors must make students aware of the content and implications of the University's Intellectual Property Policy and direct students to the appropriate staff/publications for further information if required.

3.3.2 If the research is funded by a contractual arrangement, any particular contract terms or conditions which could either restrict disclosure or affect the extent to which communication with colleagues is possible during the research and on its completion must be discussed with the student and the Legal Services Office at this University prior to the commencement of the project.

3.3.2.1 The student's formal agreement to undertake the project under these conditions must be sought and a copy of that agreement lodged with the Graduate Research School.

3.3.3 Advisory panels and supervisors must advise students on health and safety working practices relevant to the field of research, including known occupational strains and hazards.

3.3.4 Advisory panels and supervisors must advise students on the ethical practices appropriate to the discipline and requirements regarding the retention and management of primary data.

3.3.5 Advisory panels and supervisors must guide and assist students in the preparation of applications for ethics and other approvals and where required a supervisor will be the point of contact with University ethics and other committees.

3.3.6 Advisory panels and supervisors must ensure that all necessary approvals from University ethics and other committees have been obtained prior to the student commencing any research that requires specific approval.

3.3.7 Advisory panels and supervisors must discuss with students at the commencement or during the course of candidature any publication likely to arise during or as a result of the research project, to ensure appropriate and adequate recognition of the student's and the supervisors' contributions to the publication.

3.3.8 Advisory panels and supervisors must discuss with students issues of ownership of data and the consequences for early, unexpected or acrimonious end to any supervisory relationship with regard to the use of data.

3.4 Students

3.4.1 A student must, in conjunction with their supervisors, ensure that all necessary approvals from University ethics and other committees have been obtained prior to commencing any research that requires specific approval.

3.4.2 A student must acquire the necessary health and safety skills and any appropriate accreditation by attending health and safety training courses as required, adopting safe working practices relevant to the field of research, and adhering to the ethical practices appropriate to the discipline, including Human Research and/or Animal Research Ethics requirements, at all times.

3.4.3 A student must discuss with their supervisors, at the commencement or during the course of candidature, any publication likely to arise during or on the basis of the research project, to ensure appropriate and adequate recognition of the student's and supervisors' contributions to the publication.

3.4.4 A student must discuss with their supervisors issues of ownership of data and the consequences for early, unexpected or acrimonious end of the supervisory relationship with regard to the use of these data.

4 Appointment of supervisors

4.1 Head of School

4.1.1 The Head of School must arrange, make provision for and maintain a student's access to supervision in accordance with the provisions outlined in this policy and the relevant University rules, regulations, policies and procedures.

4.2 Graduate Research School

4.2.1 The Graduate Research School, or faculty for those courses managed by faculties, must ensure the provision of supervision and advice for each student through the appointment of experienced supervisors.

4.2.2 For those courses managed by the Graduate Research School, approval of an offer of candidature and/or scholarship by the Graduate Research School constitutes approval of the proposed supervisors. Applicants must be told the names of the supervisors when they are made an offer of candidature.

4.2.3 The Graduate Research School, or faculty for those courses managed by faculties, must assess any proposed change to supervisory arrangements in light of this and other relevant University rules, regulations, policies and procedures.

4.3 Graduate Research Coordinator

4.3.1 The Graduate Research Coordinator must nominate at least two supervisors for a student and must, before the commencement of the student's candidature, submit the names of the supervisors, together with any other details requested, to the Graduate Research School for approval. At least one of these supervisors must have previously supervised a higher degree by research student to successful completion at this or another recognised tertiary institution and all must be listed on the Register of Supervisors (external supervisors excluded).

4.3.2 One of the supervisors must be designated as the Principal Supervisor. This is the supervisor who provides primary academic leadership in the supervision. This person must be research active as defined defined in the Register of Supervisors - Procedures, have research expertise and experience relevant to the area of the student's proposed research and provide evidence of continuing and active involvement in research. The Principal Supervisor must normally hold a qualification at least equivalent to the level of qualification being supervised and normally will have previously supervised a research higher degree student to successful completion at this or another recognised tertiary institution. . Adjunct, honorary or emeritus supervisors may be approved as principal supervisors at the discretion of the Board of the Graduate Research School on the basis of a case provided by the relevant Head of School along with the Registration Application Form. The Principal Supervisor must reasonably expect to hold a University appointment for the duration of the student's candidature. The Principal Supervisor must be registered on the UWA Register of Supervisors.

4.3.3 One of the supervisors must be designated as the Coordinating supervisor. This is the supervisor who takes primary responsibility for the academic management of the student's candidature and ensuring that all administrative and reporting requirements of the supervision are met. This person must be an employee of this University.. The Coordinating Supervisor will receive all correspondence relating to the candidature. The Coordinating Supervisor takes responsibility for communication with and between the other supervisors and, where this person is not also the Principal Supervisor, they will closely coordinate the student's individual research training program with the Principal Supervisor. The Coordinating Supervisor must be registered at Level 2 on the UWA Register of Supervisors.

4.3.4 In cases where the Principal and Coordinating Supervisor are the same person, they will be designated as the Principal and Coordinating Supervisor. In such cases a Co-supervisor must be appointed.

4.3.5 A Co-supervisor will have specific expertise that is useful to the student's research program and will be available as an independent person from whom the student may seek advice during the course of the candidature. They will also serve as backup for the Principal and/or Coordinating Supervisor. This person need not be an employee of this University but will be expected otherwise to hold adjunct, emeritus or honorary research fellow status. The Co- Supervisor must be registered on the UWA Register of Supervisors.

4.3.6 One or more external supervisors may be appointed. External supervisors are not employees of the University and they do not hold formal adjunct, emeritus or honorary research fellow status. They will have specific expertise of relevance and use to the student's research program.

4.3.7 Joint supervision across Schools or from outside the University is permissible. There is no limit to the number of supervisors a student may have but it must be possible to ensure that all parties are able to meet regularly and agree on the direction of study and that each supervisor's role in relation to the project and candidature is well defined. Where a student is jointly enrolled across two Schools (or centres), a Principal and Coordinating supervisor must be appointed from School 1 and a Coordinating supervisor from School 2.

4.3.8 When a student is permitted to enrol as an external student, a supervisor must, subject to 4.3.8.1 be appointed at the location at which the student will be studying and appropriate access to facilities and resources must be arranged.

4.3.8.1 The Graduate Research School may waive the requirement for appropriate external supervision if electronic or other methods of remote supervision have been arranged and approved by the Graduate Research School.

4.3.9 All supervisors must have the necessary knowledge, time, commitment and access to resources to undertake the supervision roles and responsibilities at this University.

4.3.10 Supervision must be free of actual or perceived conflicts of interest. Supervision by, or co-supervision with, close relatives or those in close personal relationships is generally not appropriate. All such cases must be declared at the time that supervisors are nominated. In cases where approval is given on academic grounds for supervision by, or co-supervision with, close relatives or those in close personal relationships, additional supervisors who are free of an actual or perceived conflict of interest must be appointed.

4.3.11 A member of staff who is also a higher degree by research student enrolled at this University must not supervise another student at the same level.

4.3.12 Where a change of supervision is required the Graduate Research Coordinator must nominate supervisors to the Graduate Research School for approval, in accordance with this and other relevant university policies.

4.4 Supervisors

4.4.1 Each supervisor will be involved in a meaningful way with the student's program from the commencement of that supervisor's appointment.

4.4.2 A supervisor must communicate any significant change in the supervisor's commitment likely to affect the ability to supervise (for example, changes in teaching load or family responsibilities) to the Graduate Research Coordinator and to the Graduate Research School or faculty, as appropriate. Resulting changes in the constitution of the supervisory team and of the roles of the supervisors must be recommended by the Graduate Research Coordinator to the Graduate Research School or faculty for approval.

4.4.3 Where a Principal or Coordinating Supervisor is absent from the University for an extended period another supervisor will normally assume primary responsibility for the supervision.

4.4.4 The Graduate Research School or faculty must be notified that the Principal or Coordinating Supervisor is absent and advised of who is assuming responsibility in their absence.

4.5 Students

4.5.1 Applications by a student for changes in supervision must be in writing to the Board of the Graduate Research School or faculty, as appropriate. The current supervisors, the proposed new supervisors and the student must endorse/acknowledge the change. All changes must be approved by the Board of the Graduate Research School or faculty as appropriate. Advice regarding changes in supervision during candidature must be sought by students from the Graduate Research Coordinator, Head of School, Dean of the Graduate Research School or the Graduate Research School Office.

5 Admission

5.1 Graduate Research School

5.1.1 The Graduate Research School, or faculty for those courses administered by faculties, may approve the admission of student where the student meets the formal requirements for admission as specified in the relevant course rules and is satisfied that appropriate supervision and resources are available.

5.1.2 The Graduate Research School must not accept applicants for admission unless appropriate supervisory arrangements have been made for the specific field and course of study.

5.2 Head of School

5.2.1 The Head of School has a responsibility to ensure that each applicant recommended for admission meets the formal requirements for admission, is provided with an orientation and is inducted.

5.2.2 When an Advisory Panel is appointed, its constitution and Terms of Reference must be clearly set out in writing and provided to all students under its care and their supervisors, as well as to the Graduate Research School.

5.3 Graduate Research Coordinator

5.3.1 The Graduate Research Coordinator must provide a point of contact for prospective higher degree by research students wishing to discuss proposed areas of research and other matters with an academic adviser.

5.3.2 The Graduate Research Coordinator must certify that each applicant recommended for admission meets the formal requirements for admission, as specified in the relevant course rules, and will be provided with appropriate supervision and resources.

5.3.3 The Graduate Research Coordinator must ensure that the proposed research project is appropriate for the degree and is able to be completed within the available period of candidature.

5.3.4 The Graduate Research Coordinator must ensure that each new higher degree by research student is welcomed/ inducted by the School/discipline at the beginning of candidature and is made aware of the role and responsibilities of the Graduate Research Coordinator and other relevant staff.

5.4 Supervisors

5.4.1 When recommending acceptance of an application from a prospective student, a supervisor must ensure that the student meets the formal requirements for admission, as specified in the relevant course rules, that appropriate supervision is available and that the student will have access to appropriate resources.

5.4.2 When assessing an application from a prospective student, a prospective supervisor must inform the Graduate Research Coordinator about the feasibility of the proposed project being completed within the available period of candidature.

5.4.3 Where possible, a prospective supervisor must consult directly with an applicant before signing an application form.

5.5 Students

5.5.1 Students must attend orientation and induction courses, where possible.

6 Provision of resources

6.1 Head of School

6.1.1 The School must provide a sufficient level of support to enable a student who has been accepted into the School to complete the agreed program of research and study, both at the outset and with respect to any agreed variations.

6.1.2 The support provided by a School includes adequate supervision, provision of adequate resources and facilities, appropriate accommodation and funds for field work or other expenses necessary to the research program.

6.2 Graduate Research Coordinator

6.2.1 The Graduate Research Coordinator must ensure that the School is an appropriate academic location for the proposed research, and that appropriate resources (including fieldwork funds) and physical facilities are available and maintained through the research period.

6.3 Advisory Panel and supervisors

6.4 Supervisors

6.4.1 When assessing an application from a prospective student, a prospective supervisor must inform the Graduate Research Coordinator of the likely total cost of the research training program, the student's annual maintenance needs, requirements for fieldwork and for access to special equipment if these are likely to exceed the normal range of graduate research costs in the area.

6.4.2 Support, resources and facilities that may be required include:

(a) provision of necessary material resources to complete the research training program, including fieldwork or other research travel support, orientation, learning support, prescribed course work, training courses, and conference support as required; and

(b) facilitating contact between the student and other researchers in related areas, including external agency, industry, or other institutional links.

6.5 Students

6.5.1 A student will devote at least 30 hours per week (full time, or equivalent if the candidature is part-time) to their higher degree by research candidature.

6.5.2 A student must advise the supervisors of any significant change in their commitments likely to affect the progress of the research course, and if required ensure that this is communicated to the Graduate Research Coordinator and/or the Graduate Research School, or faculty as appropriate.

7 Managing candidature and monitoring progress

7.1 Head of School

7.1.1 The Head of School is responsible for ensuring that the candidature of students is managed, monitored and resourced appropriately.

7.2 Graduate Research Coordinator

7.2.1 Graduate Research Coordinators have the responsibility to:

(a) provide confidential counsel to students and supervisors where necessary, and follow up matters of concern; and

(b) liaise with the Graduate Research School or faculty, for courses managed by faculties, in relation to the management of candidature; and

(c) provide ongoing information to students and supervisors about the resources and sources of assistance available, both within the School and elsewhere in the University.

7.2.2 The Graduate Research Coordinator must advise on research proposals and the University's formal reporting requirements, such as Annual Progress Reports, either individually or to students as a group.

7.2.3 The Graduate Research Coordinator or nominee must interview each higher degree by research student as part of the annual review of progress and must prepare a report for the Graduate Research School, or faculty for students enrolled in degrees administered by faculties.

7.2.3.1 Notes of all referrals to support services and whether they have been followed up must be included in the report referred to in 7.2.3.

7.2.4 The Graduate Research Coordinator must validate all statements made by a student and/or supervisors through the regular reporting procedures established by the University.

7.2.5 The Graduate Research Coordinator must follow up any concerns raised by the student in the annual review of progress

7.3 Advisory panels and supervisors

7.3.1 Advisory Panels may assist the supervisors and Graduate Research Coordinator in monitoring progress and advising and supporting students, and in recommending what generic and professional skills development activities students should undertake in the course of their candidature. It may also be their role to support and provide guidance to the supervisors and Graduate Research Coordinator as necessary.

7.3.2 Advisory panels and supervisors must use the regular reporting procedures established by the University as the minimum means by which any difficulties and problems discussed with the student during the year are noted and action taken or advice given is indicated.

7.3.3 Advisory panels and supervisors must carefully monitor the performance of the student against the standard required for the degree.

7.3.4 Advisory panels and supervisors must bring to the student's attention inadequate progress or work below the standard generally expected and must also bring this to the attention of the Graduate Research Coordinator and the Graduate Research School or faculty as appropriate.

7.3.5 Advisory panels and supervisors must, where possible, identify if a student needs developmental assistance in communicating orally or in writing in English, including assistance in using the vocabulary and conventions of the discipline. They must advise the need for assistance to the appropriate area in writing and direct the student for assistance as appropriate.

7.4 Supervisors

7.4.1 Appropriate supervision must be provided and maintained throughout the research period.

7.4.2 Supervisors must discuss with students any significant change in the student's commitments likely to affect the progress of the candidature, and if required ensure that this is communicated to the Graduate Research Coordinator and the Graduate Research School or faculty as appropriate.

7.4.3 All supervisors must make every endeavour to adhere to the agreements negotiated and agreed at the commencement of candidature.

7.4.4 All supervisors must make every effort to build and maintain an effective and professional supervisory relationship in accordance with this policy.

7.4.5 All supervisors must provide academic guidance to students and foster an environment in which research is seen as a creative and exciting activity.

7.4.6 A supervisor must maintain contact with the student at least monthly, if possible on a face-to-face basis.

7.4.7 Supervisors must discuss with each student the level and extent of support the student can expect of them as supervisors and also refer students to other areas of the University as appropriate.

7.4.8 The supervisors must continue to monitor the student's progress in order to resolve any on-going difficulties.

7.4.9 The supervisors and the student must discuss the different roles of the supervisors and their relative contributions to the student's candidature and research program, record this in writing and lodge the record with the Graduate Research School as part of the Research Proposal.

7.4.10 As early as possible in the candidature, the supervisors must assess the student's writing abilities. In the case of a PhD student this must be an integral component of the confirmation process, which requires the student to provide a piece of written work of sufficient length to demonstrate writing proficiency and indicate the standard of the student's composition skills.

7.4.11 If the supervisors consider that further skills development is required for the student to be successful in completing the degree, the supervisors must provide advice and assistance as to how an appropriate standard can be achieved.

7.4.12 General supervisory responsibilities include:

(a) aiming to be an accessible advisor, available to counsel, provide support or references to appropriate other areas of the University or Guild on both academic and personal matters;

(b) suggesting ways in which the student can make the most effective use of time;

(c) recognising personal strengths and limitations and, in particular, identifying situations in which a student needs to be referred to colleagues for assistance;

(d) committing the time necessary to allow for maintaining the close and regular contact with the student, and establishing at the outset the basis on which contact will be made;

(e) encouraging students to give seminars and to submit articles for publication;

(f) developing strategies for contact with and introductions to other researchers in related areas, including external agency, industry, or other institutional links;

(g) advising the student on post-doctoral research, visiting fellow appointments or other career options, and on any prospective publications arising from the final thesis;

7.4.12.1 Specific supervisory responsibilities at the commencement of candidature include:

(a) advising on and discussing with the student at the commencement of candidature the research process, aims, scope and presentation of the thesis, and any orientation, course work or supplementary training necessary for the research project;

(b) assisting the student to prepare applications for ethics and other approvals from the appropriate University committees as required;

(c) clarifying the student's and the supervisors' respective expectations of supervision and of the operation of the supervisory team. On the basis of this discussion the supervisors and the student must establish guidelines and expectations pertaining to, for example, frequency of formal meetings between the supervisors and student; the extent and style of the supervisors' input into the student's day to day activities; turnaround time for feedback on written work; the different roles of the supervisors co-supervising the project and the candidature and arrangements to be made in the case of any anticipated extended absence of any supervisor, if applicable; and the student's access to resources and space within the School; and

(d) assisting students in planning an appropriate course of collateral reading, suggesting relevant background reading and giving advice on the literature review. Supervisors should also ensure that students are thoroughly familiar with the University resources available to them and that they are able to make full and proper use of literature sources.

7.4.12.2 Specific supervisory responsibilities throughout candidature include:

(a) monitoring, evaluating and reporting on progress;

(b) arranging acceptable meeting times with students for formal discussions and constructive evaluation of progress;

(c) initiating and holding frequent and adequate discussions with the student on the student's research program. Supervisors must discuss, assess and guide the progress of their students at regular intervals and should encourage students to provide a regular written progress report on what has been achieved and to indicate objectives for the next agreed period;

(d) requiring written work from the student on a pre-arranged and agreed schedule; monitoring the progress of the work in accordance with the agreed schedule; discussing the progress of the work, and any impediments to maintaining the agreed schedule, with the student at regular intervals;

(e) ensuring that any major decisions about the student's research program made in conversation between the supervisors and the student, or any major variations to agreed expectations and guidelines, are confirmed in writing and a copy given to the student, and to all other supervisors, and noted in the annual progress report.

(f) advising the student about any plans for extended supervisor's absence from the University (e.g. on sabbatical, long service leave) during the candidature and the proposed arrangements for supervision during this absence, where possible with at least six months' notice and preferably on enrolment;

(g) encouraging the student to be, and as far as possible ensuring that they are, actively engaged in the research program in a manner likely to produce significant results by the time of the annual report and by the time the thesis is due to be submitted, or advising the student in writing that progress is unsatisfactory and identifying improvements necessary for continuation of candidature;

(h) submitting to the Graduate Research Coordinator and Graduate Research School, or faculty as appropriate, an annual report on the progress of the student, noting any significant achievements, difficulties and problems discussed with the student, including inadequate progress if applicable, and the action taken or advice given;

(i) addressing the University's duty of care for students, bringing any serious concerns about the student's professional wellbeing or conduct to the immediate attention of the Graduate Research Coordinator or Head of School

(j) continuing to assist the student to prepare applications for ethics and other approvals from the appropriate University committees as the need arises; and

(k) where necessary, referring the student to appropriate sources of assistance with such matters as English expression, academic writing and statistical analysis and interpretation, and doing so as early in the candidature as the need for this assistance is identified.

7.5 Students

7.5.1 A student must present to their supervisors and then to the Graduate Research Coordinator, a research proposal and an annual progress report and any other requested reports at periods specified by the Graduate Research School and/or faculty and in accordance with the relevant course rules and guidelines.

7.5.2 A student must make every effort to ensure that they fulfil all academic and administrative requirements promptly and satisfactorily.

7.5.3 A student must make every effort to ensure that they comply with any referral for assistance.

7.5.4 A student must apply to the Graduate Research School or faculty, as appropriate, for approval of any proposed variation to candidature.

7.5.5 A student must have the written support of their supervisors and Graduate Research Coordinator, well in advance of any application to vary their conditions of candidature.

7.6 Students

7.6.1 A student must initiate and maintain regular contact with their supervisors.

7.6.2 A student who has been advised by a supervisor that they need assistance in the development of skills must seek assistance as directed or otherwise discuss the recommendation for assistance with the supervisors and Graduate Research Coordinator.

7.6.3 A student must make every effort to build and maintain a productive and professional working relationship with their supervisors in line with these principles.

7.6.4 A student must make every endeavour to adhere to the agreements negotiated and agreed at the commencement of candidature.

7.6.5 A student must submit written work by the agreed dates or, for work that has been requested specifically, within a mutually agreed period, normally not later than one month after the request.

7.6.6 For pieces of work which are expected to take longer than one month to produce, a student must provide a progress report by an agreed date, which will normally be within one month of the date of request for the work.

8 Graduate Research Community

8.1 Graduate Research School

8.2 Head of School

8.3 Graduate Research Coordinator

8.3.1 The Graduate Research Coordinator must provide access to appropriate opportunities, by way of workshops, seminars and other activities, for students to develop their skills at presenting their work and to be integrated into a cohesive group. The graduate supervisor must encourage supervisors and students to attend.

8.3.2 Graduate Research Coordinators have the responsibility to coordinate activities, for example seminar series, within the School to assist students to develop skills and form collegial networks;

8.3.3 The Graduate Research Coordinator must provide each student with information about the School, including resource allocation, its staff and other students' projects, normally in the form of a School induction. Attendance at University and/or Guild induction activities is also recommended.

8.3.4 The Graduate Research Coordinator must provide appropriate opportunities for students to participate in the intellectual activity of the School and must encourage students to interact with and develop profitable intellectual relationships within the School and with other researchers in related areas, including external agency, industry, or other institutional links.

8.3.5 The Graduate Research Coordinator must encourage and facilitate students and supervisors to participate in other appropriate training activities, such as workshops on safety and health procedures, offered within the University.

8.4 Advisory Panels and supervisors

8.4.1 Advisory panels and supervisors must work with the student to clarify expectations at the commencement of candidature, including the extent to which the student must contribute to group research.

8.4.2 Supervisors must make every endeavour to support the career aspirations of students through, for example, provision of references, assistance with publications and facilitation of post-doctoral opportunities after completion of the thesis.

8.4.3 Supervisors must, where possible, facilitate contact between the student and other researchers in related areas, including external agency, industry, or other institutional links.

8.4.4 Supervisors must make every effort to attend seminars at which their students are presenting work, and to provide feedback, advice, encouragement and assistance with regard to these presentations.

8.4.5 Advisory panels and supervisors must encourage students to participate in training activities, such as workshops on safety and health procedures, and generic skills development workshops and courses, offered within the University.

8.4.6 Advisory panels and supervisors must encourage students to participate in the intellectual activity of the School or area through activities such as attendance and presentations at School seminars and conferences.

8.4.7 Supervisors must, where possible, attend University and/or Guild induction activities and encourage their students to attend.

8.5 Students

8.5.1 A student must participate in the intellectual life of the School/area through activities such as attendance and presentations at School seminars and conferences.

8.5.2 A student must participate in training activities, such as workshops on safety and health procedures, and generic skills development workshops and courses offered within the University.

8.5.3 A student must, where possible, attend University and/or Guild induction activities.

9 Thesis examination

9.1 Graduate Research Coordinator

9.1.1 Graduate Research Coordinators have the responsibility to, consult with supervisors as appropriate and advise the Board or faculty as appropriate on matters related to thesis examination when so requested.

9.1.2 At the time of submission, a Graduate Research Coordinator must certify that the thesis is properly presented, conforms to the relevant University rules, regulations, policies and procedures and is, therefore, prima facie, worthy of examination.

9.1.3 Examiners must be nominated and recommended to the Board of the Graduate Research School or faculty, as appropriate in a timely fashion, and normally three weeks prior to submission of a thesis for examination.

9.1.4 The Board of the Graduate Research School may request a Graduate Research Coordinator to provide clarification or advice to assist it with the classification of a thesis. In this case, and other than in exceptional circumstances which will be reported to the Graduate Research School, the Graduate Research Coordinator will consult with the supervisors in preparation of this report.

9.2 Advisory Panels and supervisors

9.2.1 Advisory panels and supervisors must ensure that, before they sign off on the presentation of a thesis for examination, the thesis is properly presented, conforms to the relevant University rules, regulations, policies and procedures and is, therefore, prima facie, worthy of examination.

9.2.2 Specific supervisory responsibilities during preparation of the thesis include:

(a) recognising that the thesis is the student's own work, that the student is the sole author of the thesis under the mentorship of the supervisors, and that the role of the supervisor in preparation of the thesis is primarily to be a guide, advisor and critical reviewer rather than co-author or editor;

(b) developing with the student a timetable for preparation and submission of the thesis within the time allotted for candidature;

(c) discussing the form and content of the thesis, and the processes of thesis planning and writing, freely with the student, and, where necessary, assisting the student with strategies for planning and writing the thesis;

(d) advising on the outline of the thesis and providing guidelines and feedback about appropriate style, accuracy and use of English to assist students to develop their own writing style and proficiency in editing and correcting their own work;

(e) advising students about structure, style, and general editing issues and guiding students accordingly. It is appropriate for supervisors to undertake some editing tasks, but within limits. A thesis must express the student's voice. Writing is considered an important part of a higher degree by research, and any assistance with writing must be conducted as part of the overall learning process. Any additional assistance received by the student must be fully supported by continuous feedback from supervisors as part of the integral learning process. The integrity of the work relies on the thesis being demonstrably the student's work and must indicate that the student has the ability to write and argue with clarity.

(f) developing with the student a timetable for preparation and submission of material for publication and assisting to prepare these, with appropriate agreements about co-authorship.

(g) acknowledging that, while it is highly desirable for students to publish their work throughout the candidature, preparation of material for publication should not be at the expense of timely submission of the thesis;

(h) ensuring that editing of the thesis is in accordance with the University Policy on the Use of Editorial Assistance by Students

(i) certifying that the thesis is properly presented, conforms to the rules and is, therefore, prima facie, worthy of examination as specified in the relevant course rules at the time of submission.

(j) in consultation with the Graduate Research Coordinator, and after giving the student an opportunity to comment on possible examiners for the thesis, advising the Graduate Research School or faculty, as appropriate, through the Graduate Research Coordinator, the names and credentials of suitable examiners in a timely manner and providing appropriate supporting material.

9.2.3 Specific supervisory responsibilities during thesis examination and revision include:

(a) recognising that the role of the supervisor as guide, advisor and critical reviewer rather than co-author or editor of the thesis extends through the thesis examination and review processes;

(b) when so requested, assisting the Graduate Research Coordinator to prepare advice for the Board of the Graduate Research School or faculty as appropriate that will help it to classify the thesis appropriately in the event that the University has received diverse or adverse reports from the examiners; and

(c) in consultation with the Graduate Research Coordinator , advising the student on how best to revise the thesis after classification to bring it to the required standard and providing feedback about the revisions that have been made and the student's Report of Revisions.

(d) ensuring that editing of the thesis in revision is in accordance with the University Policy on the Use of Editorial Assistance by Students

9.3 Students

9.3.1 A student must accept responsibility for producing the final copies of the thesis, for the content of the thesis, and for ensuring that it is in accord with the relevant requirements, including the standard of presentation as specified in the relevant course rules.

9.3.2 A student must complete the necessary revisions / corrections within the time limit specified and provide any statement addressing the corrections requested by the Graduate Research School or faculty concerned in cases where a thesis is classified 'Resubmit' or is passed subject to correction.

10 Grievances and appeals

10.1 Dean of Graduate Research School

10.1.1 If the Dean of Graduate Research School is of the opinion that a supervisor may have infringed this policy or the Guidelines on Research Ethics and Research Conduct, he or she may, after consultation with the Board of the Graduate Research School, refer the matter to the Vice-Chancellor.

10.2 Head of School

10.2.1 The Head of School must provide appropriate School procedure to manage situations which might be perceived as involving real or potential conflicts of interest e.g. where the Head of School or Graduate Research Coordinator is a student's supervisor. The Head of School must ensure that students are made aware of this procedure.

10.2.2 The Head of School must provide an appropriate School procedure to deal with unresolved conflicts between supervisors and students, in line with the Student Complaints Resolution Policy, and students must be made aware of this procedure.

10.3 Graduate Research Coordinator

10.3.1 All new students must be provided with a School statement which encourages them to familiarise themselves with the Student Complaints Resolution Policy and to pursue, at an early stage, initially in the informal manner set out in that Guide, any concerns they have regarding matters outside their control which may be impeding the satisfactory progress of their work.

10.3.2 At the request of the student, a Graduate Research Coordinator must advise on any matter relating to the student's course, including advice on any difficulties in the relationship between the student and the supervisors or Head of School.

10.4 Supervisors

10.4.1 All supervisors must be aware of the Student Complaints Resolution Policy and must, at an early stage in the candidature, discuss with students the importance of informally addressing any issues as they arise.

10.4.2 All supervisors must make every effort to follow School procedures to deal with unresolved conflicts or issues with their students, in line with the Student Complaints Resolution Policy if issues arise which cannot be resolved by informal discussion.

10.4.3 All supervisors must co-operate fully to resolve the grievance with the Chair and the members of the Grievance Conciliation Panel if a formal Application for Grievance Conciliation is lodged.

10.5 Students

10.5.1 A student must be aware of the Student Complaints Resolution Policy and is encouraged to informally discuss any issues as they arise with their supervisors, Graduate Research Coordinator or Head of School as appropriate.

10.5.2 A student must make every effort to follow School procedures to deal with unresolved conflicts or issues with their supervisors, in line with the Student Complaints Resolution Policy if issues arise which cannot be resolved by informal discussion.

10.5.3 A student must co-operate fully with the Chair and the members of the Grievance Conciliation Panel to resolve the Grievance if a formal Application for Grievance Conciliation is lodged.

Related forms: (Link)

TRIM File No:

F38192

Contact position:

Associate Director, Graduate Research and Scholarships

Related Policies or legislation:

Students Complaints Resolution Policy (UP07/98 )