• Section 1 - Purpose
• Section 2 - Scope
• Section 3 - Policy
• Section 4 - Procedure
• Applications for Supervisor Registration
• Criteria for Registration
• Supervisor Register Management 
• Section 5 - Roles and Responsibilities
• Faculty
• Supervisory Panel
• Primary Supervisor
• External Supervisors
• Advisors
• HDR Convener
• Associate Dean, Research (ADR)
• Dean, Graduate Research School
• Section 6 - Implementation and Reporting
• Section 7 - Definitions

Section 1 - Purpose

(1) This Procedure outlines the requirements for Higher Degree by Research (HDR) supervisor registration and the role and responsibilities of those involved in HDR supervision at the University of Canberra (University).

Section 2 - Scope

(2) This Procedure applies to University staff and affiliates (including Adjuncts and Emeritus Professors) involved in the supervision of HDR candidates at the University.

(3) This Procedure supports the Higher Degree by Research Supervision Policy which outlines the principles for the supervision of HDR candidates.

(4) Procedures for supervisory panel changes are outlined in the Higher Degree by Research Enrolment and Changes to Candidature Policy and Procedures.

Section 3 - Policy

(5) Refer to Higher Degree by Research Supervision Policy.

Section 4 - Procedure

Applications for Supervisor Registration

(6) Applications for Supervisor registration must be submitted on the appropriate form to Graduate Research School and supported by evidence of completion of the training requirements (for University staff).

(7) Applications for both internal and external Supervisor registration must be approved by the Faculty Associate Dean, Research (ADR), prior to being submitted to Graduate Research School.

Criteria for Registration

Internal Supervisors

(8) To be eligible for entry into the Supervisor Register, an academic staff member must:

1. have obtained a research degree at the level at which they intend to supervise or provide evidence of equivalent research experience (assessed by the Faculty ADR);
2. have a current active involvement in research (for Education Focused or Professional staff a statement must be provided by the Faculty ADR to support this);
3. have a University appointment/position; and 
4. have completed all of the following mandatory training:
   1. Supervising Research Candidates (online);
   2. Research Integrity (online); and
   3. Cultural Awareness Training.

External Supervisors

(9) External academics, adjuncts or industry professionals who wish to be formally appointed to a supervisory panel as Secondary Supervisor must apply to be registered.

(10) To be eligible for registration as an external Supervisor, it is a requirement to have:

1. obtained a degree at the level at which the candidate intends to supervise; or
2. professional experience appropriate to the research project.

(11) External Supervisors are not required to complete online training or maintain professional development requirements but are expected to comply with the University’s Rules, Policies and Procedures as they relate to the supervision of HDR candidates.

(12) Advisors may be appointed to a supervisory panel without being registered.

Professional Development

(13) Registered Supervisors are required to engage in approved professional development opportunities at least every two years to maintain registration, which include:

1. appointment to the role of Faculty ADR, HDR Convener or Dean, Graduate Research School;
2. evidence of a publication or conference presentation on the practice of supervision;
3. facilitation of a workshop on the practice of supervision within the Faculty, as part of the University Researcher Development program, or at another tertiary institution; or
4. evidence of participation in formal training on the practice of supervision, offered by University Researcher Development, within a faculty (e.g. Supervisor Day Out) or by an approved external provider.

(14) Attendance at Faculty-based or external training must be endorsed by the Faculty ADR and evidence provided to Graduate Research School to record in the Register.

(15) Registered Supervisors who fail to maintain the professional development requirements will be restricted from taking on new HDR candidates until they have met the requirements.

Supervisor Register Management 

(16) Graduate Research School is responsible for the registration of Supervisors and management of the Supervisor Register.

(17) Professional development will be recorded in the Register and monitored for compliance by Graduate Research School.

Section 5 - Roles and Responsibilities

(18) As stated in the University's Delegations of Authority Policy, a delegation to approve is conferred on a position, not to an individual occupying the position. A delegated authority extends to any person officially appointment to a position on a temporary basis.

(19) Where the approving authority is unavailable to make an academic or administrative decision as required by this Policy, or it is not appropriate to do so (e.g. conflict of interest), authority may only be exercised by a delegate with management responsibility for the functions of the position. In the case of a Faculty Associate Dean, Research (ADR), the delegate with management responsibility is the Faculty Executive Dean.

(20) Exceptions to this Procedure may be approved by Dean, Graduate Research School.

Faculty

(21) To provide continuity of high-quality supervision, it is the responsibility of the Faculty to ensure that:

1. The discipline area to which the HDR candidate is admitted has the capacity to provide and maintain high quality supervision throughout the candidature period.
2. The proposed Primary Supervisor has sufficient expertise in the area of research to be able to offer the HDR candidate appropriate intellectual input.
3. All members of the supervisory panel, including external Supervisors, have the necessary discipline expertise and are registered according to this Procedure.
4. Supervisory responsibility within panels is clearly designated and understood by the Supervisors and the HDR candidate.
5. An academic staff member within the Faculty is appointed in a convener capacity for HDR students, whose duties include provision of advice to candidates and Supervisors on supervision matters where necessary.

Supervisory Panel

(22) All members of the supervisory panel are expected to play an active role in the continued support of the HDR candidate, which includes:

1. the provision of appropriate academic support (including timely feedback);
2. ensuring the HDR candidate has a full understanding of their responsibilities as an HDR candidate;
3. ensuring regular contact with the HDR candidate is maintained, and the candidate understands the basis on which contact will be made;
4. ensuring the HDR candidate has access to the necessary facilities and resources for their research and is provided opportunities to participate in the intellectual life of the Faculty and the University;
5. ensuring the HDR candidate has knowledge of and is compliant with all University Rules, Policies, Procedures and Guidelines relevant to their candidature;
6. monitoring the performance of the HDR candidate, ensuring inadequate progress or work below the standard expected is brought to the candidate’s attention;
7. ensuring the Faculty ADR is informed as soon as possible of any progress issues;
8. recruiting suitable, high-quality examiners in a timely fashion, ahead of thesis submission; and
9. certifying on thesis submission, that the thesis is properly presented, conforms to University standards and is worthy of examination.

Primary Supervisor

(23) The Primary Supervisor has specific responsibilities in addition to those of the supervisory panel, which include:

1. primary responsibility for the HDR candidate’s supervision and progression;
2. responsibility for the management of the supervisory panel including facilitating opportunities for all panel members to discuss the candidate's progress; 
3. main contact point for the HDR candidate, unless otherwise agreed by the supervisory panel;
4. main liaison between the HDR candidate and the University;
5. providing guidance and advice to the HDR candidate in relation to the University's ethics requirements, and ensuring the HDR candidate's research complies with the University's ethics and integrity guidelines and obligations;
6. providing guidance and advice to the HDR candidate where relevant, in developing a Research Data Management Plan, and on date management, storage, transmission and use that complies with the University's Management of Research Data, Primary Materials and Information Policy;
7. supporting and facilitating the HDR candidate’s progress towards timely completion of the degree, including completion of milestones and implementation of intervention strategies as required to comply with the University's Higher Degree by Research Progress and Milestones Policy; and
8. assisting to identify and negotiate alternate supervision, if required.

External Supervisors

(24) External experts can become involved in the supervision of HDR candidates.

(25) External Supervisors are required to comply with the University’s Rules, Policies, Procedures and Guidelines relevant to the supervision of HDR candidates at the University.

(26) Types of external Supervisors can include (see Definitions section below):

1. Emeritus Professor;
2. Adjunct;
3. research end-user Supervisor; or
4. industry or sector Supervisor.

(27) External Supervisors are not permitted to supervise as Primary Supervisor.

(28) External Supervisors must be registered (see clause 9) to be appointed as a Secondary Supervisor.

(29) University staff who leave the University during the candidature of an HDR candidate will be changed to external Supervisor or advisor, unless a request is submitted to remove them from the panel.

Advisors

(30) Advisors can provide essential supplementary expertise to support a supervisory panel. This expertise is typically specialised assistance in an area or a specific aspect of the HDR candidate’s research.

(31) Advisors can be engaged for the duration of the HDR candidature or for as short a period as their expertise is required.

(32) Advisors are not required to be registered, but must comply with the University’s Rules, Policies and other guiding documents relevant to the supervision of HDR candidates at the University.

HDR Convener

(33) The Faculty HDR Convener has responsibility for supporting the ADR in research supervision matters within the Faculty, including:

1. raising issues relating to HDR supervision and working with the ADR and Dean, Graduate Research School to resolve them;
2. assisting to identify alternate HDR supervisory arrangements as required; and
3. providing advice and directing HDR candidates and staff to the University’s Rules, Policies, Procedures and Guidelines to resolve disputes related to HDR supervision, conflict of interest, or breakdown in the HDR supervision relationship.

Associate Dean, Research (ADR)

(34) The Faculty ADR has responsibility for overseeing HDR supervision within the Faculty, including:

1. managing supervisory capacity within the Faculty, including approving registrations of new supervisors and changes to supervisory panel arrangements;
2. overseeing Faculty-based professional development opportunities for HDR supervisors and managing non-compliance with the University's policy requirements; and
3. working with the Dean, Graduate Research School to resolve matters relating to HDR supervision. 

Dean, Graduate Research School

(35) The Dean, Graduate Research School has oversight of HDR related policy and activity at the University, including:

1. development of a program of professional development opportunities for research Supervisors;
2. Supervisor register management and compliance monitoring;
3. approval of exceptions to the Higher Degree by Research Supervision Policy and this Procedure;
4. reporting to the Deputy Vice-Chancellor and University Research Committee and liaising with Faculties on matters relating to HDR supervision;
5. providing advice to faculties on conflict of interest and dispute resolution, where advice external to the Faculty is sought; and
6. providing confidential advice to HDR candidates or Supervisors on matters relating to HDR supervision, as requested and as part of the dispute resolution process.

Section 6 - Implementation and Reporting

(36) Graduate Research School will monitor the Supervisor register regularly and report non-compliance to Graduate Research Committee and University Research Committee.

(37) Graduate Research School will monitor candidates’ satisfaction with supervisory arrangements through the biennial Research Student Satisfaction Survey, and report to Graduate Research Committee, University Research Committee and Academic Board.

(38) Exceptions to this Procedure will be reported to Academic Board biannually.

Section 7 - Definitions