Policies and procedures
APPROVAL: Academic Board, 24 February 2006
REFERENCE AUTHORITY: Deputy Vice Chancellor and Vice President (Research and Innovation)
The University of South Australia is an Australian leader in innovative research conducted in partnership with industry and the professions. Higher Degree by Research (HDR) students contribute to the University’s research culture and research outcomes and it is a University priority to continuously improve research education within a research-rich environment (UniSA 2005, University Vision Statement).
Integral to a quality research education experience is the provision of effective research management and supervision. Postgraduate Research Degree Supervisors (supervisors) play a central role in guiding HDR students in their research project, ensuring they meet milestones and complete their degrees on time. Responsibility for HDR students’ progress is shared across the University and this code outlines the respective responsibilities of those involved in the management and administration of research degrees at all levels.
The Research Degrees Committee (RDC), a sub-committee of Academic Board, has the delegated authority in matters relating to research education. View the Terms of Reference. Through RDC, the Dean of Graduate Studies is responsible for establishing a policy and quality assurance framework for the management of research degree programs1, including academic regulations for those programs, with appropriate devolution to the Division and Institute level.
Through RDC the Dean of Graduate Studies will ensure that:
2.1 requirements and entry standards for the research degree are clearly specified and are set to ensure that enrolling HDR students are likely to have the capacity to succeed, given their own commitment to complete;
2.2 rights and responsibilities of HDR students, the University, Divisions, Institutes, Schools and their staff are clearly documented and readily available to HDR students, including policy and academic regulations governing the degree, progress reporting and, where appropriate, scholarship conditions;
2.3 standards exist for qualifications, training and support of academic staff who supervise HDR students, and that a process exists by which assistance may be sought should it be required;
2.4 ethics clearance and safe research procedures are in place and available to HDR students;
2.5 the status of intellectual property and commercial considerations arising from HDR students’ research are defined and available to HDR students;
2.6 procedures are in place by which either the HDR student or the supervisor may raise and seek resolution of grievances or appeals;
2.7 HDR students have access to adequate support, facilities and resources for conducting their research program, including Research Education Support Activities;
2.8 there are explicit procedures for the examination process, including clear guidelines for examiners and other parties, outlining institutional expectations for the particular degree and any requirements for confidentiality;
2.9 completion times are monitored;
2.10 RDC is responsible for approving recommendations from Division and Institute Research Management Committees regarding candidature, making decisions on each HDR student’s completion of requirements for the award of a research degree and for recommending to Council that Doctoral degrees be awarded.
Each Division, Institute and the Centre for Regional Engagement (CRE) has a Research Management Committee, the Chair of which is the Dean, Research or equivalent. Each Divisional Research Management Committee or equivalent (DRMC)2 is responsible for monitoring and ensuring the effective conduct of research education management within the area and for ensuring that the area adheres to relevant policies, regulations and codes. Responsibility for research degrees may be delegated to the Dean Research (or equivalent) who normally chairs the DRMC. The Dean is required to complete authorisations at various points of candidature in accordance with the academic regulations.
Through the DRMC, the Dean Research (or equivalent) will:
3.1 make academic decisions and consequent recommendations to RDC on matters pertaining to postgraduate research including HDR student admissions, scholarships, research proposal assessments, performance reviews, variations to candidature and examinations;
3.2 monitor and report on HDR student progress within the Division/ Institute/ CRE;
3.3 report on corporate planning targets and quality assurance mechanisms within the Division/ Institute/ CRE;
3.4 recommend staff for admission to the Register of Postgraduate Research Degree Supervisors and ensure that all principal supervisors are members of the Register of Postgraduate Research Degree Supervisors;
3.5 ensure that each HDR student has a principal and associate supervisor appointed and ensure that all supervisors are sufficiently expert in the area of research to be able to offer the HDR student quality supervision;
3.6 make every endeavour to locate another supervisor in the event that alternative supervisory arrangements are required;
3.7 provide a research-rich education environment by contributing to research education support activities to foster the development of Research Degree Graduate Qualities and productive intellectual, professional and ethical relationships between staff and HDR students and among HDR students;
3.8 address grievances or appeals involving research degree coordinators, program directors: professional doctorate (research) (refer Clause 4.1), supervisors and HDR students in accordance with University policy and regulations.
The Institute Director/ Head of School (and where the principal supervisor is in a Research Centre, the Centre Director) will share responsibility for:
4.1 appointing a senior academic staff member to act as research degree coordinator or program director: professional doctorate (research), who will represent the area as a member of the Divisional Research Management Committee (and who will undertake the responsibilities and requirements outlined in the Position Description appended to this Code);
4.2 ensuring research degree coordinators provide HDR students with relevant information upon commencement of candidature, including
4.2.1 policy/ guidelines governing ethics, safety, intellectual property, authorship, academic misconduct and copyright;
4.2.2 appeal, at risk and grievance procedures;
4.2.3 support, facilities and resources available to HDR students within the University;
4.3 ensuring that adequate resources are provided to assist research degree coordinators and supervisors in the performance of their duties;
4.4 negotiating supervisor workload at commencement of candidature such as to provide the HDR student with appropriate and adequate supervision throughout candidature, and renegotiating as required. Such workload is to distributed between the principal/ co supervisor and associate supervisor(s);
4.5 in conjunction with the Dean Research, appointing a substitute supervisor where a supervisor is absent for six weeks or more;
4.6 ensuring each HDR student has resources available according to the Statement of Resources for HDR students which is appended to this Code and providing project-specific funds for the HDR student to conduct the research project in accordance with the approved research proposal.
Supervisors are expected to supervise their HDR students in accordance with the responsibilities below, to foster academic integrity and maximise the opportunities for timely and successful completions.
All supervisors are required to:
5.1 be familiar with, abide by and guide HDR students in relation to the University’s policies, procedures, regulations, guidelines and codes relevant to higher degrees by research, including intellectual property, ethics and safety, authorship arrangements, copyright and plagiarism and Research Degree Graduate Qualities;
5.2 remain aware of current supervisory practices and the policy environment by participating in supervisor development and awareness programs provided by the University , as per RES Policy 8.4, Register of Postgraduate Research Degree Supervisors;
5.3 establish with the commencing HDR student and review as necessary the mutual expectations and obligations outlined in the Welcome Checklist and Statement of Agreement, including supervision style, development of Research Degree Graduate Qualities and the use of PORTIA;
5.4 comment critically and constructively, and in reasonable time, on the content of drafts of the thesis. Monitor the HDR student’s writing style to help avoid plagiarism and to ensure appropriate presentation of written material. Refer the HDR student to appropriate resources and assist with preparation of the research proposal;
5.5 provide academic support and guidance, and help HDR students to create strategic academic networks by putting them in contact with relevant researchers and other HDR students in their discipline;
5.6 encourage and support HDR students to publish and present their work where appropriate;
5.7 complete the bi-annual progress review and reporting requirements of the University and advise the HDR student on preparation for and performance in these reviews and reports;
5.8 monitor the HDR student’s performance and ensure the HDR student is promptly made aware of inadequate progress or insufficient work by providing detailed feedback that identifies problems, establishing agreed timelines and milestones by which to measure performance, and conducting additional reviews of progress as required;
5.9 contribute to examination procedures by:
5.9.1 after discussion with the HDR student, advising the relevant DRMC of the names and credentials of recommended examiners;
5.9.2 certifying that the thesis is of a standard appropriate to the discipline, is properly presented and adequately expressed in English, conforms to University regulations and policies and is, therefore, prima facie, worthy of examination;
5.9.3 advising the HDR student on how to deal constructively and appropriately with critical review, including examiners’ comments and recommendations;
5.9.4 recommending to the DRMC an appropriate response to the examiners’ recommendations, including a proposed resolution of conflicting examiners’ reports to the Examinations Panel, where necessary;
5.9.5 reviewing amendments to the thesis and when required certify that the requisite amendments have been made within the required timeframe;
5.10 encourage and support HDR students’ career aspirations and planning and help them develop the personal and professional capabilities that will enhance their career options;
5.11 establish supervisory responsibilities and reporting processes for the associate supervisor, who provides support to the principal supervisor: The associate supervisor should be involved as soon as practicable in the development of the candidate’s research proposal and should maintain a level of communication with the candidate and the principal supervisor to allow adequate supervision whenever necessary.
HDR students are admitted to the University of SA on the basis of their application form and research outline and a supervisor is appointed on that basis. HDR students are required to:
6.1 become familiar with and abide by the Regulations, Policies and Procedures for Higher Degrees by Research and with other relevant policies and procedures including UniSA’s intellectual property, copyright and plagiarism policies;
6.2 at commencement of candidature, establish with supervisors the mutual expectations and obligations outlined in the Welcome Checklist and Statement of Agreement, including supervision style, development of Research Degree Graduate Qualities and the use of PORTIA for project management;
6.3 play an informed part in planning a research project in order to complete the thesis and degree within the allocated time of scholarship and/or funded candidature. Maintain the progress of work according to milestones agreed with supervisors;
6.4 complete a research proposal within six months (12 months part-time) of commencement in order to confirm their candidacy and continue their enrolment;
6.4.1 where necessary, negotiate any costs associated with the proposed program of research with the Supervisor and the Institute Director/Head of School and/or Centre Director during the preparation and acceptance of the research proposal;
6.5 participate with supervisors and the research degree coordinator in planning and reviewing progress, and monitor achievement of Research Degree Graduate Qualities;
6.6 obtain ethics and safety approvals for the research program as necessary, and prior to data collection. Adopt ethical and safe working practices in places of study and work and be familiar with occupational health, safety and welfare guidelines;
6.7 participate in the intellectual community provided by the Division/ Institute/ School/Centre and undertake appropriate Research Education Support Activities;
6.8 submit the necessary documentation (including Review of Progress documents confirming satisfactory progress against agreed milestones) to enable Graduate Studies Office to update their enrolment. Failure to comply may result in cancellation of enrolment;
6.9 take the initiative in raising problems or difficulties and share responsibility for seeking appropriate solutions;
6.10 prepare the thesis for examination and submit with necessary documentation according to appropriate Guidelines and Regulations;
6.11 participate in discussions relating to the appointment of examiners and, while not having a right to nominate or veto the choice, raise any concerns or objections about potential examiners;
6.12 after examination, promptly make required corrections to the thesis within the allocated time and ensure enrolment is active in the case of major amendments;
6.13 regularly check to ensure biographical, demographic and email details are up-to-date in myUniSA, check email on a regular basis, conform with University administrative requirements such as payment of all fees by the due dates and comply with enrolment dates;
6.14 provide feedback to UniSA’s Quality and Evaluation Team on the HDR student experience.
1 See Policy Res 15.1 Quality Assurance and Improvement in Higher Degrees by Research
2 Divisional Research Management Committee means the Research or Research Degrees Management Committee established by the Division, Institute or CRE
