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Higher Degree by Research Procedures - Supervision

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Section 1 - Purpose and Context

(1) These mandatory procedures establish the composition and appointment of supervisory panels and the role and responsibilities of academic supervisors of research higher degree candidates. 

(2) The University is committed to the highest standards of practice and integrity in conducting academic supervision of Higher Degree Research (HDR) candidates, understanding that research education is a complex and highly specialised form of teaching requiring specific types of educational pedagogy.

(3) These procedures apply to all HDR candidates, academic supervisors and HDR programs.

(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) These procedures should be read in conjunction with the following policy documents:

  1. Higher Degree by Research Policy
  2. Conflict of Interest Policy
  3. Responsible Conduct of Research Policy
  4. Student Misconduct Rule.
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Section 2 - Definitions

(6) For the purposes of these Procedures, definitions that apply can be found in the Higher Degree by Research Policy and the Policy DDS Glossary, in addition to the following:

  1. Co-supervisor means a Western Sydney University academic or person as appointed by the School Dean or Director, Research Institute that has specific expertise that is useful to the candidate’s research program and is available as an advisor to the candidate during the term of the candidature
  2. 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
  3. 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
  4. Principal Supervisor means a Western Sydney University academic who takes primary academic responsibility for the HDR candidature and is the administrative contact for the Graduate Research School (GRS)
  5. Research Masters means either a Master of Philosophy program or a Master of Research program
  6. Research Training Program (RTP) candidate means a candidate funded under the Commonwealth Research Training Program that provides eligible Higher Degree Research students with a scholarship that includes a HECS exemption for the duration of an accredited Higher Degree Research program
  7. External Advisor means an advisor who is not a member of the supervisory panel but provides advice and expertise
  8. External Supervisor means a member of the supervisory panel who is external to the University and may be an academic, an end user of research in the discipline, or an industry professional. 
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Section 3 - Policy Statement

(7) Refer to the Higher Degree By Research Policy.

(8) Responsibilities regarding HDR candidate Supervision:

  1. the Dean or Director, Research Institute is responsible for ensuring that sufficiently 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 overall quality of supervision of HDR candidates in their School/Institute
  3. the Dean or Director, Research Institute must 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.

(9) Candidates and supervisors are expected to seek negotiated solutions to any issues or grievances prior to initiating escalation.

(10) When grievances cannot be resolved between the Supervisory Panel and candidate, representations should be made to the relevant Associate Dean, Research and HDR (Associate Dean, R & HDR) or Higher Degree Research Director (HDR Director) and unresolved matters can subsequently be escalated by any party to the Dean or Director, Research Institute and if required, further escalated to the Dean, Graduate Studies and Researcher Development (Dean, GS & RD).

(11) Complaints regarding misconduct can be made via the University's complaints management system.

(12) Candidates have access to the processes set out in the University's Academic Appeals Procedures and Complaint Management Policy.

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Section 4 - Procedures

Part A - Supervisory Panels

(13) HDR candidates have a panel of at least two internal supervisors, one of whom is designated as the Principal Supervisor, and the other(s) as Co-supervisor(s).

(14) The composition of a supervisory panel will be determined to ensure all supervisory requirements of candidate and their research project are met.

(15) The Principal Supervisor should consider the inclusion of Co-supervisors from other Schools and Research Institutes where cross-disciplinary research is being undertaken and encourage inclusion of early career researchers wherever possible.

(16) An external supervisor or external advisor should be appointed where required to ensure the supervisory panel has the appropriate breadth of expertise for the candidature and project.

(17) The Dean or Director, Research Institute approves:

  1. the supervision panel and ensures cross-unit approval for the inclusion of supervisors from other organisational units
  2. changes of Principal Supervisor
  3. changes or additions to a supervisory panel, where the Associate Dean, Research and HDR or HDR Director is a member of that panel.

(18) The Associate Dean, Research and HDR or HDR Director will approve changes or additions to a supervisory panel, other than the Principal Supervisor, where they are not part of that supervisory panel.

(19) Where a new Principal Supervisor is required, the Dean or Director, Research Institute will appoint either the co-supervisor or alternate eligible principal supervisor. The suitability of the proposed replacement Supervisor must be discussed with the candidate and will be assessed on a case-by-case basis to ensure that the candidate is appropriately supported.

(20) Where an appropriate Principal Supervisor is not appointable, the Dean or Director, Research Institute will become the acting Principal Supervisor until an appropriate Principal Supervisor is appointed.

(21) Where an appropriate replacement Principal Supervisor cannot be identified within one quarter, the candidate may be directed to take a period of leave, up to two quarters, until an appropriate supervision panel is in place.

(22) Where, after a leave of absence, and there is no reasonable prospect of engaging a principle supervisor before the next quarter, the candidature may be terminated. 

(23) Changes to the supervisory panel do not constitute grounds for an extension of candidature or scholarship (refer to the Higher Degree by Research Procedures – Candidature and Higher Degree by Research Procedures – Scholarships).

(24) HDR supervision panels and all changes to panels are required to be recorded in the University's online research systems. 

(25) Supervisors must not supervise HDR candidates with whom they have a close personal relationship.

(26) Supervisors in a close personal relationship with another supervisor must disclose a Conflict of Interest to the Dean or Director, Research Institute at the time the Supervisory Panel is being formed. The Dean or Director, Research Institute must ensure appropriate measures are in place to manage the Conflict of Interest, consistent with the Conflict of Interest Policy, Procedures and Guidelines. 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 provide sign off on all HDR Candidatures Milestones.

(27) The Supervisory Panel of all Indigenous HDR candidates should include an Indigenous supervisor wherever possible. 

Part B - Registration of HDR Supervisors

(28) All University academics must be listed as active on the HDR Supervisor Register before they can supervise HDR candidates.

(29) The HDR Supervisor Register is maintained by the GRS, along with the record of all Principal Supervisors and Co-supervisors at the University.   

(30) To attain active status on the HDR Supervisor Register University academics must apply, completing the registration requirements and complete the online training module ‘HDR Supervisor Training’. 

(31) To maintain an active status Supervisors must:

  1. participate once every two years in a recognised training workshop, forum or other professional development event, approved by their Associate Dean, Research and HDR or their HDR Director
  2. meet School or Institute criteria for one of the Research Profile categories set out in the University Work Plan Policy, unless specifically exempted by the Dean or Director, Research Institute
  3. maintain a satisfactory standard of supervisory performance monitored as part of the University Academic Career Development, Planning and Review process.

(32) Professional development activities include:

  1. supervisor training workshops presented by the GRS
  2. designated supervision development activity organised by the GRS
  3. participation in Indigenous cultural competency training and training focused on Indigenous Research Methodologies
  4. presenting by invitation at an HDR skills development workshop
  5. completion of an approved online supervisor professional development program
  6. attendance at a conference on research training
  7. participation in external seminars or workshops on research training and supervision
  8. participation in a designated supervision development activity organised by their School or Institute and approved by the Dean, GS & RD
  9. activity approved by the Dean, GS & RD.

(33) Participation in HDR supervisor professional development activities must be reported to the GRS to be used for the HDR Supervisor Register purposes.

(34) All permanent and fixed-term academic staff when listed on the HDR Supervisor Register are eligible to be Co-supervisors. They may be listed as eligible to be Principal Supervisors if they have co-supervised an HDR candidate to completion at any university.

(35) Casual academics, conjoint and Adjunct Professors or Associate Professors, Research Fellows and Emeritus Professors can be included on the HDR Supervisor Register as co-supervisor, with approval from the Dean, Director, Research Institute or Dean, GS & RD.

Part C - Principal Supervisor

Eligibility

(36) A Principal Supervisor must:

  1. be a permanent or fixed-term employee of the University
  2. hold active registration on the HDR Supervisors Register
  3. be an active researcher 
  4. hold qualifications at least at the level of the award for which the candidate is admitted.

(37) 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 Co-Supervisor on their current supervisory panels.

Number of Candidates

(38) A Principal Supervisor will not supervise as Principal Supervisor more than the equivalent of six full-time (6 FTE) research candidates, unless the Principal Supervisor has demonstrated capacity to supervise more and with approval by the Dean, Graduate Studies and Researcher Development.

Responsibilities

(39) The Principal Supervisor is responsible for:

  1. guiding a candidate in the design and implementation of research
  2. monitoring and reporting on the candidate's progress
  3. working with candidates to modify research plans when research is disrupted by external factors
  4. meeting responsibilities outlined in the Supervisor HDR Candidate Agreement. This includes:
    1. maintaining regular contact the candidate as appropriate 
    2. providing intellectual guidance and academic supervision
    3. providing pastoral care 
    4. seeking support and advising in relation to concerns they may have about the health and wellbeing of the candidate, and  
    5. facilitating referral to student support services.  

(40) The Principal Supervisor is responsible for managing administrative requirements associated with candidature including:

  1. advising the candidate and making recommendations to the Associate Dean, Research and HDR or HDR Director on proposed changes to candidature, including:
    1. changes to thesis title
    2. Supervision Panel Membership
    3. mode of enrolment (part-time or full-time study)
    4. Leave of Absence
    5. early submission for examination
    6. extension of scholarship
    7. extension of candidature
    8. transfer of program
  2. Ensuring progress milestones are met including:
    1. Candidature Plan
    2. ethics application
    3. Confirmation of Candidature
    4. Progress Reports
    5. any additional milestones in consultation with the HDR candidate and the Associate Dean, Research and HDR, or HDR Director 
    6. managing the examination process including formal confirmation of thesis submission and nomination of examiners
    7. taking preemptive action if it is likely milestones will not be met. 
  3. ensuring that a prior agreement/approval is reached between the candidate and the supervisory panel concerning authorship of publications, conference papers and acknowledgement of contributions during and after candidature 
  4. ensuring candidates are familiar with the Australian Code for the Responsible Conduct of Research, 2018 and responsibilities of researchers (refer also the Responsible Conduct of Research Policy)
  5. ensuring that candidates are aware of University policy documents on Student Misconduct, including plagiarism and intellectual property
  6. reporting any suspicion that a candidate has committed misconduct under the Student Misconduct Rule
  7. ensuring HDR candidates are aware and complete training requirements addressing risk mitigation strategies including cyber security and foreign interference
  8. reporting the risk of foreign interference as per the Foreign Arrangements and Foreign Interference Policy
  9. ensuring decisions to include overseas based academics as external supervisors complies with the University risk mitigation strategies and these procedures.

(41) The Principal Supervisor is expected to provide advice and mentoring to other members of the supervisory panel.

Part D - Co-supervisors

Eligibility

(42) A Co-supervisor must:

  1. be a permanent or fixed-term academic employee of the University
  2. hold current registration on the HDR Supervisor Register
  3. be an active researcher 
  4. hold qualifications at least at the level of the award for which the candidate is admitted.

Responsibilities

(43) Co-supervisors are responsible for providing candidates with additional guidance and support in the design and implementation of their research.

(44) Co-supervisors are expected to maintain contact with candidates according to an agreed schedule and to actively participate in the supervision of the candidate and in panel meetings.

(45) Co-supervisors are responsible for:

  1. all aspects of candidature progression 
  2. offering specific discipline expertise to the HDR candidate as required
  3. providing input to the candidate’s progress and support the quality of research output
  4. engaging in the agreement and approval concerning the candidate’s authorship of publications, conference papers and acknowledgement of contributions
  5. when appointed as the acting Principal Supervisor, assume all responsibilities of the Principal Supervisor. 

Part E - Acting Principal Supervisor

(46) An acting Principal Supervisor must be formally appointed by the Dean or Director RI during any extended absence by the Principal Supervisor (Refer Part A of these procedures).

Part F - External Supervisors and External Advisors

(47) The appointment of an External Supervisor may be appropriate where an HDR candidature is undertaken in partnership with industry.

(48) The External Supervisor must be appointed to a supervisory panel and approved by the relevant Associate Dean, Research and HDR or HDR Director.

(49) The role and responsibilities of the External Supervisor will be determined on a case-by-case basis as determined by the needs of the HDR candidate and with the endorsement of the Principal Supervisor and the approval of the Associate Dean, R & HDR or HDR Director.

(50) An External Supervisor will not be allocated University workload.

(51) An External supervisor must be provided with an orientation and access to related University Policy documents and other relevant information.

(52) An External Advisor may be appointed 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. 

(53) External Advisors are not required to be on the Supervisors Register.

Part G - Supervision of Indigenous HDR Candidates

(54) Supervisors of Indigenous candidates or supervisors of non-Indigenous candidates undertaking Indigenous-related research are required to undertake or have undertaken training in Indigenous Research Methodologies, ethics, and culturally competent Indigenous supervision.

Part H - Supervision Performance

(55) The Supervision performance of research supervisors is reviewed by Associate Dean, Research and HDR or the HDR Director using annual reports of supervisor metrics which includes data on:

  1. candidate attrition
  2. candidature progress
  3. completion times
  4. complaints and grievances
  5. prizes and awards
  6. candidate examination results.

(56) The relevant Dean or Director RI may request a review of a supervisor’s status if that supervisor is:

  1. found to have committed research misconduct or other professional misconduct. (Refer to the Bullying Prevention Policy, Code of Conduct, Discrimination, Harassment, Vilification and Victimisation Prevention Policy, Motting and Hazing Prevention Policy, Responsible Conduct of Research Policy, Respect and Inclusion in Learning and Working Policy, Sexual Harassment Prevention Policy, Conflict of Interest Policy and relevant sections of the current staff agreements)
  2. identified in their academic performance and development review as failing to perform their duties to a satisfactory standard.

(57) Supervisors identified as not meeting a satisfactory standard will be notified as being ‘At Risk’ and provided with an initial warning. A training or mentoring plan will be developed and agreed upon with the Associate Dean, Research and HDR Director.

(58) Supervisors identified as at risk are reported by the Associate Dean, R & HDR to the Dean, GS & RD.

(59) Where the training or mentoring plan is not completed or there is a serious violation of the Australian Code of the Responsible Conduct of Research or other relevant policy documents, the relevant Dean or Director RI and Dean, GS & RD will consider limitation of supervision load for a specified period or removing the supervisor from the Supervisors Register.

(60) Supervisors whose active status on the Supervisors Register has been removed may apply for reinstatement if they are able to demonstrate that they have since achieved the criteria for active status.

(61) Good supervision practice is rewarded and recognised through nominations for the Vice-Chancellor’s Excellence Award for Excellence in Postgraduate Research Training and Supervision, in School and Institute prizes, and in promotion criteria.

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

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Section 5 - Guidelines

(63) For further information refer to the: 

  1. Higher Degree By Research Procedures – Candidature
  2. Higher Degree By Research Procedures - Candidature Variation
  3. Supervisors and Higher Degree Research Candidates Agreement
  4. HDR Knowledge Articles.