• Section 1 - Purpose and Context
• Section 2 - Definitions
• Section 3 - Supervision Capacity
• Part A - Panel Supervision
• Part B - Active HDR Supervisors
• Part C - Principal Supervisor
• Eligibility
• Number of Candidates
• Responsibilities
• Part D - Co-supervisors
• Eligibility
• Responsibilities
• Part E - Acting Principal Supervisor
• Part F - Upgrade from Co-Supervisors to Principal Supervisor Status
• Part G - External Industry based Supervisors and End-User Advisors
• Part H - Supervision of Indigenous HDR Candidates
• Part I - Supervision Performance
• Section 4 - Procedures
• Section 5 - Guidelines

Section 1 - Purpose and Context

(1) This policy establishes the composition and appointment of supervisory panels and the role and responsibilities of academic supervisors of research higher degree candidates. All supervisors (academic, external academics and industry-based supervisors) must comply with this policy.

(2) This policy articulates the highest standards of practice and integrity in conducting academic supervision of Higher Degree Research (HDR) candidates, given the understanding that research education is a complex and highly specialised form of teaching requiring specific types of educational pedagogy. These standards apply to all HDR candidates, academic supervisors and HDR programs, regardless of the mode (remote, online or face-to-face) or location of delivery (candidates who are on campus, offshore, or otherwise working off campus).

(3) Research education is a shared responsibility that involves academic governance bodies such as Western Sydney University's Research Studies Committee (RSC) and School or Institute Research and Higher Degrees Committees (SIRHDC) as well as the Deans, Director, Research Institutes and Associate Dean, Research and HDR or Higher Degree Research Directors (HDR Directors) and the Graduate Research School (GRS), acting within a policy framework to foster an enriched and successful candidature culture.

(4) The University uses a panel system of supervision. Members of a panel will seek to impart knowledge of research methods to their candidates and to guide them in becoming excellent researchers participating in the many relevant communities they engage, from disciplinary to the broader public. The process of supervision should stimulate the candidate's scholarly and research potential and should encourage candidates to participate in and contribute to the research culture of the University, its Research Institutes and Schools.

(5) This policy should be read in conjunction with the following policies and guidelines:

1. Research Higher Degree and Research Training Program Scholarship Policy;
2. Research Masters (Honours) Policy;
3. Doctorate Policy;
4. Doctor of Philosophy by Publication Policy;
5. Doctor of Medicine by Publication Policy;
6. Doctor of Letters and Doctor of Science Degrees Policy;
7. Responsible Conduct of Research Policy;
8. Responsible Conduct of Research Procedures - Animal Research Ethics;
9. Research Higher Degree Candidature Essential Resources Policy;
10. Student Misconduct Rule; and
11. Conflict of Interest Policy.

Section 2 - Definitions

(6) Definitions for the purpose of this policy:

1. Associate Dean, Research and HDR or the Higher Degree Research Director (HDR Director) is the relevant Associate Dean or Director (e.g. HDR Director or Director, Research and HDR) as determined by the Dean or Director, Research Institute.
2. Dean means the Dean of a University School.
3. Dean, Graduate Studies and Researcher Development means the Dean of the Graduate Research School.
4. Director, Research Institute means the Director of a University Research Institute.
5. HDR program means a Higher Degree Research Accredited Level 9 (Research Masters) or Level 10 (Research Doctorate) qualification, as described in the Australian Qualifications Framework Second Edition January 2013.
6. Higher Degree Research (HDR) candidate means a student who is undertaking independent research in either a Doctorate, Master of Philosophy or Research Master’s program.
7. Research Masters means either a Master of Philosophy program or a Master of Research program.
8. Research Training Program (RTP) candidate means a candidate funded under the Commonwealth Research Training Program that provides eligible Higher Degree Research students with an entitlement to a HECS exemption for the duration of an accredited Higher Degree Research program.
9. School or Research Institute and Research and Higher Degrees Committee(SIRHDC) means the academic governance committee with particular responsibility for research and research training matters at the School or Research Institute level.
10. The University Research Studies Committee (RSC) means the academic governance committee with particular responsibility for Higher Degree Research, which reports to the University Research Committee and Academic Senate.
11. End-User Advisor means an advisor who is an end user of research in the discipline.

Section 3 - Supervision Capacity

(7) Responsibilities for supervisory capacity include:

1. The Dean or Director, Research Institute holds the responsibility for ensuring that sufficient qualified and active supervisors are available to provide appropriate supervision to all candidates entering and enrolled in their School or Research Institute (Institute).
2. The Dean or Director, Research Institute is responsible for the quality of supervision of HDR candidates in their School/Institute.
3. The Dean or Director, Research Institute will ensure that Early Career Researchers in their academic unit have access to effective mentoring from senior academic staff with regard to supervision skills and responsibilities.

Part A - Panel Supervision

(8) Each HDR candidate has a panel of at least two internal supervisors, one of whom is designated as Principal Supervisor, and the other(s) as Co-supervisor(s). The number of supervisors on a supervisory team will be determined by the requirements of individual candidatures and the supervisory roles/expertise required. A doctorate panel should preferably have three supervisors if one member is external to the University. The Principal Supervisor should consider the inclusion of Co-supervisors from other Schools and Research Institutes where cross-disciplinary research is being undertaken.

(9) The Dean or Director, Research Institute will approve the establishment of the supervision panel. They will also ensure cross-unit approval for the inclusion of supervisors from other organisational units.

(10) The Dean or Director, Research Institute will approve changes of Principal Supervisor.

(11) The Dean or Director, Research Institute will approve changes or additions to a supervisory panel, in cases where the Associate Dean, Research and HDR or HDR Director is a member of that panel.

(12) The Associate Dean, Research and HDR or HDR Director will approve all other changes or additions to a supervisory panel.

(13) Changes to the supervisory panel do not constitute grounds for an extension of candidature or scholarship.

(14) All changes to candidature supervision must be reported to the GRS in a timely manner. Refer to the Supervision of Research Candidates Procedures, Clause (4)b.

(15) Supervisors must not supervise HDR candidates with whom they have a close personal relationship. Supervisors in a close personal relationship must disclose a conflict of interest to the Dean or Director, Research Institute at the time of the panel formation. The supervisory panel must include at least one member who is independent of that relationship to enable the University to deliver its Duty of Care to the candidate. The supervisor who is independent of the relationship between the other supervisors must be actively involved in the supervision of the candidate and must provide sign off on all HDR Candidatures Milestones.

(16) If there is a conflict dispute between the candidate and the supervisory panel, the candidate, Principal Supervisor or Co-supervisor should refer the matter in the first instance to the relevant Associate Dean, Research and HDR or HDR Director. The dispute may be escalated to the Dean or Director, Research Institute, or Dean, Graduate Studies and Researcher Development.

Part B - Active HDR Supervisors

(17) All level D and E permanent and fixed-term academic staff are listed on the HDR Supervisor Register as eligible to be active Principal Supervisors and Co-supervisors.

(18) All level A, B and C permanent and fixed-term academic staff are listed on the HDR Supervisor Register as eligible to be active Co-supervisors. They may be listed as eligible to be active Principal Supervisors if they have co-supervised an HDR candidate to completion or have other relevant academic experience. See Clauses (32) and (33).

(19) Contract academics, conjoint and Adjunct Professors or Associate Professors, Research Fellows and Emeritus Professors can be included on the HDR Supervisor Register with approval from the Dean, Director, Research Institute or Dean, Graduate Studies and Researcher Development.

(20) All University academics must be accredited and listed as active on the HDR Supervisor Register before they can be allocated to candidates.

(21) Inactive supervisors will not be permitted to join new supervisory panels. However, inactive supervisors may become active by completing the requirements outlined in Clauses (10) and (11) of the Supervision of Research Candidates Procedures.

Part C - Principal Supervisor

Eligibility

(22) A Principal Supervisor must currently:

1. be a permanent or fixed-term employee of the University;
2. hold active registration on the HDR Supervisors Register;
3. have a research profile recognised under the relevant School or Research Institute Work Plan as at least ‘Substantial Research’ unless the Dean or Director, Research Institute determines the supervisor to have acquired sufficient and appropriate research supervision; 
4. hold qualifications at least at the level of the award for which the candidate is admitted.

(23) An academic staff member who transitions from being a permanent or fixed-term member of staff to holding an Adjunct appointment or who is an Emeritus Professor may continue in the role of Principal Supervisor.

(24) Exceptions can be made to Clause (22)d where a University academic staff member has demonstrated capacity to supervise, has equivalent research experience, who is active in research and publishing in, or otherwise making original contributions to, a relevant field or discipline. This exception must be approved by the Dean or Director, Research Institute of the relevant School/Research Institute or the Dean, Graduate Studies and Researcher Development.

Number of Candidates

(25) A Principal Supervisor will not support more than the equivalent of six full-time (6 FTE) research candidates.

(26) Exceptions can be made to Clause (25) to the number of FTE candidates supported by a Principal Supervisor, where the Principal Supervisor has demonstrated the capacity to do so. This exception must be approved by the relevant Dean or Director of the relevant School or Research Institute or the Dean, Graduate Studies and Researcher Development.

(27) Schools and Research Institutes are responsible for ensuring that supervisory responsibilities are properly credited in staff workloads and reflected in the Academic Unit Work Plan Policy.

Responsibilities

(28) The Principal Supervisor is responsible for guiding a candidate in the design and implementation of research, and for monitoring and reporting on the candidate's progress, and to work with candidates to modify research plans when research is disrupted by external factors impacting on access to University facilities and fieldwork sites. The Principal Supervisor is expected to meet responsibilities outlined in the Supervisor HDR Candidate Compact. Refer to the Supervision of Research Candidates Procedures, Clause (33). This includes responsibilities to maintain regular contact, fortnightly as a minimum with the candidate to provide intellectual guidance and academic supervision, to provide pastoral care, to monitor candidate’s health and wellbeing, and to facilitate referral to student support services. Supervision panels also provide advice on career development opportunities and addressing skills gaps to assist graduate employability.

Part D - Co-supervisors

Eligibility

(29) A Co-supervisor must:

1. be a permanent or fixed-term academic employee of the University, or be an external person appointed by the Dean or Director based on relevant School or Research Institute based on relevant industry or academic experience;
2. hold current registration on the HDR Supervisor Register (except for externally appointed Co-supervisors);
3. have a research profile recognised under the relevant School or Research Institute Work Plan as at least ‘Scholarship or Emerging’ unless specifically exempted from this provision by the Dean or Director, Research Institute of the relevant School or Research Institute (except for externally appointed Co-supervisors);
4. hold qualifications at least at the level of the award for which the candidate is admitted or be appointed by the Dean or Director based on relevant research expertise, industry or academic experience.

Responsibilities

(30) The Co-supervisors are responsible for providing candidates with additional guidance and support in the design and implementation of their research. Co-supervisors are expected to maintain contact with candidate as required according to an agreed schedule and to participate in whole panel meetings with the candidate at least once per semester (see the Supervisor HDR Candidate Compact). Refer to the SSupervision of Research Candidates Procedures, Clause (33).

Part E - Acting Principal Supervisor

(31) An acting Principal Supervisor must be appointed by the Associate Dean, Research and HDR or HDR Director during any absence of more than three months by the Principal Supervisor.

Part F - Upgrade from Co-Supervisors to Principal Supervisor Status

(32) Co-supervisors may apply to upgrade to Principal Supervisor status if they have a research profile recognised under the relevant School or Institute Work Plan as at least ‘Substantial Research’. Approval for this upgrade is the responsibility of the relevant Associate Dean, Research and HDR or the HDR Director.

(33) Co-supervisors must have acted on the supervisory panel of at least one HDR completion prior to approval of Principal Supervisor status. An Associate Dean, Research and HDR or HDR Director may recommend an upgrade based on academic experience without the HDR completion. This recommendation must be approved by the Dean or Director of the relevant School or Research Institute.

Part G - External Industry based Supervisors and End-User Advisors

(34) Where an HDR candidature is undertaken in partnership with industry, an industry supervisor must be nominated; this nomination must be endorsed by the Principal Supervisor and approved by the relevant Associate Dean, Research and HDR or HDR Director.

(35) An End-User Advisor may be appointed to a supervision panel as approved by the relevant Associate Dean, Research and HDR, HDR Director where it is deemed that advice and disciplinary expertise together with access to resources and/or a research setting which are complementary to those provided by the University would be beneficial to the candidature.

Part H - Supervision of Indigenous HDR Candidates

(36) Supervisors of Indigenous candidates or supervisors of non-Indigenous candidates undertaking Indigenous-related research are highly recommended to undertake training in Indigenous Research Methodologies and culturally competent Indigenous supervision.

Part I - Supervision Performance

(37) Supervision performance will be reviewed by Associate Dean, Research and HDR or the HDR Director with respect of student attrition, candidature progress and completion times, complaints and grievances, prizes and awards as well as candidate examination results.

(38) In cases of poor supervision performance or serious violation of the Australian Code of the Responsible Conduct of Research or other relevant policies, appropriate measures and sanctions will be taken in accordance with relevant HR policies and procedures, including review of supervisor status, or limitation of supervision load for a specified period.

(39) Supervisor professional development activities are to be undertaken every two years to remain on the Supervisor Register.

Section 4 - Procedures

(40) Supervision of Research Candidates Procedures.

Section 5 - Guidelines

(41) A Supervisors and Higher Degree Research Candidates Compact.