• Section 1 - Purpose and Context
• Section 2 - Section 2 — Definitions
• Section 3 - Policy Statement
• Part A - Part A — Panel Supervision
• Part B - The Principal Supervisor
• Eligibility
• Graduate Supervisor's Register
• Research Activity
• Number of Candidates
• Qualifications
• Part C - Part C —Acting Principal Supervisor
• Part D - Part D — Supervisory Panel
• Part E - Responsibilities of the Principal Supervisor
• Exams
• Section 4 - Section 4 — Procedures
• Part F - Role of the Principal Supervisor
• Section 5 - Section 5 — Guidelines

Section 1 - Purpose and Context

(1) This Policy establishes the criteria for appointment of supervisory panels, the role and responsibilities of academic supervisors of research higher degree candidates and expectations of candidates by supervisors.

(2) Research education is a complex and highly specialized form of teaching. This policy aims to ensure the highest standards of practice in conducting academic supervision of research higher degree candidates.

(3) The apprentice-master model of research education has progressed to a model of supervision as a shared responsibility. Research education involves academic governing bodies such as the Research Studies Committee and College Research and Higher Degrees Committees, senior staff such as the Dean of Research Studies and Associate Deans Research, acting within a policy framework to foster an enriched and successful candidature.

Section 2 - Section 2 — Definitions

(4) Nil

Section 3 - Policy Statement

Part A - Part A — Panel Supervision

(5) Members of the supervisory panel will seek to impart knowledge of research methods to the candidates under their supervision and to guide them in becoming excellent researchers. The process of supervision should stimulate the candidate's intellectual and research potential. Success will be demonstrated by external examination.

(6) The University uses a panel system of supervision. Each research candidate has a panel of at least two supervisors, one of whom is designated as principal supervisor, the other(s) as co-supervisor. Panels introduce additional expertise and some candidatures may have several co-supervisors, to access a range of knowledge and skills. Panels provide a backup should the principal supervisor be absent for any reason. Panels provide mentoring for new supervisors in a co-supervisory role and panels are used to involve experts who are external to the University. The operation of the panel will be determined by the principal supervisor in consultation with the candidate and other panel members.

(7) Panels will be appointed by the Research Studies Committee on the recommendation of the relevant Associate Dean (Research) or equivalent* (reference Research Masters (Honours) Policy and Doctor of Philosophy Rule).

(8) It is a requirement that the full panel meet in person with the candidate at least once per session. The notes from these meetings will be signed by the panel members and candidate and lodged on the candidates file (TRIM record).

Part B - The Principal Supervisor

Eligibility

(9) A principal supervisor must:

1. be a permanent or fixed term employee of UWS;
2. hold current registration on the Graduate Supervisors Register; and
3. qualify on the UWS Register of Research Activity.

(10) Casual employees may not be appointed as principal supervisor.

(11) Notwithstanding clause 8 an academic staff member who holds the title of Adjunct appointment or Emeritus Professor may continue in the role of principal supervisor where the candidature is in the final stages of candidature. In these cases the Adjunct or Emeritus appointee will have been the principal supervisor of the candidate before appointment as Adjunct or Emeritus.

(12) Adjuncts and Emeritus Professors may not normally be appointed as the principal supervisors of commencing candidates.

Graduate Supervisor's Register

(13) The principal supervisor will hold current registration on the Graduate Supervisors Register.

(14) The criteria for admission to the Graduate Supervisors Register requires:

1. Participation in a research supervisors forum or other program designated by the Research Studies Committee, for example, an on-line workshop.
2. Lodgement of an application that details academic qualifications and experience in supervising Bachelor Honours candidates and research candidates.

(15) Admission to the Graduate Supervisors Register will be approved by the Research Studies Committee on the recommendation of the Associate Dean (Research) or equivalent* of the relevant College Research and Higher Degrees Committee.

(16) Admission to the Graduate Supervisor Register may be granted for principal supervision or co-supervision at various levels of award, for example, up to and including doctorates, or research masters or Bachelor (Honours) and coursework only.

(17) Conditional registrations on the Graduate Supervisors Register will be reviewed annually by the Research Studies Committee, on the advice of the relevant Associate Dean (Research) or equivalent* .

(18) Registration on Graduate Supervisors Register is for three years.

(19) Registration is renewed by participation in such activity as deemed acceptable for the purpose by the Research Studies Committee. In most cases this will be the attendance at a research supervisors forum but may include other activities that will be advertised on the web site.

Research Activity

(20) The principal supervisor shall qualify on the UWS Register of Research Activity ( The Register ).

(21) In particular circumstances where the capacity to supervise has been demonstrated, the relevant Associate Dean (Research) or equivalent* in conjunction with the College Research and Higher Degrees Committee may recommend to the Research Studies Committee that an exception be made to the requirement for qualification as research active.

Number of Candidates

(22) The principal supervisor will not normally be principal supervisor for greater than the equivalent of three full-time research candidates. The Research Studies Committee may approve more than the equivalent of three full-time candidates in circumstances such as where the principal supervisor is a research-only appointee.

Qualifications

(23) The principal supervisor shall hold qualifications at least at the level of the award for which the candidate is admitted. Where a College Research and Higher Degrees Committee recommends a principal supervisor who does not have a qualification at the level at which the applicant wishes to enrol or is enrolled, the College Research and Higher Degrees Committee will provide to the Research Studies Committee evidence of the research profile of the nominee. It is expected that such a nominee will hold the position of Professor or Associate Professor.

Part C - Part C —Acting Principal Supervisor

(24) An acting principal supervisor must be appointed during any significant absence of the principal supervisor i.e. more than a month at a time, and always during periods of absence due to professional development leave. It is never acceptable for a candidate to have their candidature disrupted by staff absences.

Part D - Part D — Supervisory Panel

(25) Co-supervisors are encouraged to register on the Graduate Supervisor Register.

(26) Co-supervisors may be non-UWS staff.

(27) Co-supervisors will normally hold qualifications at the level being supervised and they are expected to be experienced researchers in the field.

(28) A co-supervisor may be requested to act as principal supervisor during an absence of the principal supervisor.

(29) There must be at least one co-supervisor. However, there is no upper limit on the number of co-supervisors although the principal supervisor must ensure that whatever the composition of the panel it must be manageable.

(30) If there is a conflict between the candidate and the supervisory panel, the candidate may refer the matter to the relevant Associate Dean (Research) or equivalent*.

Part E - Responsibilities of the Principal Supervisor

(31) The Principal Supervisor is responsible making recommendations on proposed changes to candidature. These include:

1. Changes to thesis title
2. Panel membership
3. Mode of enrolment
4. Leave of absence
5. Early submission for examination
6. Extension of scholarship
7. Extension of candidature
8. Application to Upgrade to doctoral student from research masters

(32) The principal supervisor is responsible for ensuring that progress milestones are met. These include:

1. Early Candidature Plan
2. Confirmation of Candidature
3. Annual Progress Reports

(33) The principal supervisor is responsible for taking action if progress of the candidate is unsatisfactory.

(34) The principal supervisor is responsible for ensuring that Ethics applications are submitted.

(35) The principal supervisor is responsible for ensuring that the Conflict of Interest Policy is observed.

(36) The principal supervisor is responsible for ensuring that:

1. agreement is reached between the candidate and members of the supervisory panel concerning authorship of publications and acknowledgment of contributions during and after candidature. Refer to the Research Code of Practice
2. candidates are aware of the Misconduct - Higher Degree Research Candidate Misconduct in Research Policy
3. candidates are aware of University policies on intellectual property and plagiarism.

(37) The principal supervisor is responsible for taking action for infringement by the candidate of the Research Code of Practice.

Exams

(38) The principal supervisor is responsible for:

1. discussing potential examiners with the candidate;
2. arranging for the appointment of examiners;
3. making initial contact with examiners;
4. endorsing lodgment of the thesis;
5. commenting on exam reports and make recommendation to College Research and Higher Degrees Committee and/or the Research Studies Committee on the examination outcome;
6. endorsing completion of amendments; and
7. approving readiness for re-examination, where applicable

Section 4 - Section 4 — Procedures

Part F - Role of the Principal Supervisor

(39) The principal supervisor has primary obligation for oversight of the candidate's progress and takes a leadership role in managing the panel and candidature. In addition to the responsibilities listed above the principal supervisor should consider the following matters in leading the candidature:

1. Establishment
   1. The terms of the candidature negotiated and agreed among the panel and candidate on meeting protocols
   2. Meeting of commitments made by the panel and candidate
   3. Awareness of the panel and the candidate of relevant University policies
   4. Candidate access to resources
   5. Candidate understanding of the requirements of the degree
   6. Awareness of academic governance and how to action processes
2. Assessment and Progression
   1. Encouraging of candidates to develop their writing early in the candidature and to access University assistance with writing, if necessary
   2. Provision of timely and effective feedback to the candidate on progress
   3. Identification with the candidate the particular research skills that need to be developed
   4. Identification with the candidate and panel agreed methods and timelines for assessing progress, in addition to mandatory reporting requirements
3. Project management
   1. Mapping of the project with the panel and candidate according to a timeline
   2. Where appropriate, instructing the candidate to prepare a budget estimate of costs associated with the research
   3. Assessment of progress against the timeline, taking action to adjust the rate of progress as required
   4. Ensuring that scholarship timelines and conditions are observed
4. Resources
   1. Ensuring access to facilities under the Research Higher Degree Candidature Essential Resources Policy
   2. Discussion of library resources
   3. Seeking additional expertise on the panel, if required
   4. Encouraging the candidate to participate in skills development programs at the University, both face to face and on-line
5. Dealing with Difficulties
   1. Seeking of advice from relevant academic leaders, for example, Research Centre Director, School Research Co-ordinator, College Research and Higher Degrees Committee Associate Dean (Research) or Dean of Research Studies
6. Research Culture
   1. Inculcation of research culture and good research practice
   2. Encourage the candidate to publish and giving strategic advice about when and where to publish
   3. Providing advice on researcher safety
   4. Acting as a career mentor
   5. Encouraging candidate participation in University research culture.
7. Leadership
   1. Acting as a mentor to fellow panellists, if appropriate
   2. Ensuring that commitments made by the panel and candidate are met
   3. Assisting the candidate to identify research opportunities

Section 5 - Section 5 — Guidelines

(40) This policy should be read in conjunction with the relevant degree policy, the Research Code of Practice, the Research Ethics Policy, Research Higher Degree Candidature Essential Resources Policy and the Misconduct - Higher Degree Research Candidate Misconduct in Research Policy.