504/2011

These guidelines should be read in conjunction with the Research Awards Rules and the Code of Practice for Supervision of Higher Degrees by Research.  The Rules take precedence over any other information about supervision and HDR candidature.

PRINCIPALS

1.         Appointment of Provisional Supervisors, Panel Chairs and Supervisors

1.1       When a Doctor of Philosophy (PhD) student is admitted to candidature, the Delegated Authority, or a provisional supervisor appointed by the Delegated Authority, has be the responsibility of overseeing the student's candidature until the Chair of the supervisory panel or a primary supervisor is appointed.  The provisional supervisor should be nominated with their agreement by the area in which the student will be enrolled at the time the applicant is recommended for admission to the University. 

1.2       The Delegated Authority will not accept applicants for admission unless appropriate supervisory arrangements can be made for the specific field and course of study.  Where possible applicants are told the name(s) of their provisional supervisor(s) when they are offered a place, preferably after direct consultation between the applicant and prospective supervisor.  The student is enrolled in a Graduate Research Field and normally located in the ANU College in which the panel Chair is appointed.

1.3       A Chair of the student's supervisory panel will be appointed by the Delegated Authority normally within about one month of enrolment for the PhD.  Normally, the Chair will be a member of the academic staff of the University employed by the University full-time, or part-time on at least a 50% basis (see sr3.26(3) and sr3.26(4).

1.4       A primary supervisor for the student's PhD program will be appointed normally within three months of the enrolment of the student.  The primary supervisor may also be the Chair of the supervisory panel.

1.5       The Delegated Authority must appoint one or more supervisors for a student for the degree of Master of Philosophy (MPhil) or for a professional doctorate by research (ProfDoc) before the enrolment of the student in the program.

1.6       At least one supervisor for an HDR student must be a member of the academic staff of the University employed by the University full-time, or part-time on at least a 50% basis.

1.7       If a sole supervisor for an HDR student is absent or unable to perform the duties of a supervisor for more than four consecutive weeks, the Delegated Authority must appoint an acting supervisor for the period of the absence.

2. Supervisory Panels and Advisers

2.1       The ANU provides supervision and advice for each PhD student through a supervisory panel (rather than a single supervisor only).  A supervisory panel consists of at least three members, with a usual maximum of five, including at least one supervisor and not less than two other members who may be supervisors or advisers.  The panel for PhD, MPhil or Professional Doctorate students is appointed by the Delegated Authority normally within three months of the enrolment of the student. 

2.2       Each panel has a Chair and includes a supervisor who is a member of the academic staff of the University and should hold an appointment at ANU for the duration of the program.  Supervisors are expected to have research expertise and experience relevant to the area of the student's proposed research.  The Chair has primary responsibility for the coordination of all aspects of the student's program and for convening meetings of the panel.

2.3       Where it is appropriate to appoint a panel member from outside the University, who has particular expertise unavailable within the University, an additional supervisor or adviser may be appointed by the Delegated Authority.  Advisers are appointed to advise, at the request of the student, on any matter relating to the student's program and generally provide access to additional expertise and wider contacts for the student.

2.4       Changes in Supervisory Panels

A student or the panel members may request changes in supervisory panel arrangements during candidature, and may seek advice on this from the Delegated Authority, Graduate Research Field Convener, the Fees and Scholarships Office, Division of Registrar and Student Services, or from the Postgraduate and Research Students' Association (PARSA).  Changes must be approved by the Delegated Authority.

2.5       Change in Student Status and Supervisory Panels

Any proposed change in student status which has implications for supervision arrangements, such as a temporary move to another location for research purposes or a move to take up employment elsewhere, requires approval by the Delegated Authority, with the written support of the supervisor, well in advance of any such proposed move.  It may be necessary to appoint another supervisor in any new location to ensure adequate day-to-day supervision, in addition to maintaining email or other communication between the Chair of the panel and the candidate.

2.6       Acting Supervisors - Arrangements during the Absence of a Supervisor

When a sole supervisor on a supervisory panel goes on extended leave for more than four consecutive weeks, it is necessary for an acting supervisor from within the University to be nominated.  It is the responsibility of the Chair of the panel to make a nomination to the Delegated Authority, normally at least a month before the supervisor departs, and after consultation with the student.  It is expected that the original supervisor will continue to have regular contact with the student when practicable.  The acting supervisor will be responsible for day-to-day assistance required by the student and, if also Acting Chair of the supervisory panel, for coordination of all aspects of the student's program and for convening meetings of the panel.  Where more than one supervisor has been appointed, the supervisor remaining on campus when the other goes on study leave or other approved leave will normally assume these responsibilities.

3.         Responsibilities of Panel Chair and Supervisors

The following recommended best practices are designed to help ensure that all HDR students enjoy a high quality research training experience with successful completion in a timely fashion.  

3.1       The Chair of the supervisory panel has the primary responsibility for the roles included below:

• assuming primary responsibility for the supervision of the student;
• convening of the supervisory panel. This includes the initial meeting with the student, panel meetings for consideration of the detailed research proposal (within six months of commencement), Annual Plan, Thesis Proposal Review, and if applicable, the Mid-term Review of progress;
• ensuring other panel members, especially newer staff members and off-campus members, are aware of their responsibilities;
• ensuring students have access to resources in line with the Policy on Minimum Allocation of Resources; and
• informing the Associate Dean (HDR), who is the Delegated Authority, of the students' likely requirements and costs, including fieldwork and any exceptional needs or costs.

3.2       Prospective and provisional supervisors are responsible for:

• responding promptly with advice to prospective students concerning research proposal viability; and
• referring prospective students to an appropriate supervisor and/or academic unit.

3.3       Supervisors (including Chair of panel) are responsible at the commencement of the candidature for:

• familiarising themselves with the Research Awards Rules and acting in accordance with University codes and guidelines including the Guideline: Responsible Practice of Research, the Guideline: Minimum Allocation of Resources for Research Students, and the Intellectual Property Policy and the Code of Practice for Supervision in Higher Degrees by Research, The Code describes expectations of HDR students (in the form of milestones) and of staff (in terms of lines of responsibility), outlines a set of guidelines for sound practice;
  
• meeting promptly with commencing students to establish mutual expectations and responsibilities. This may include discussion about the aims, scope, orientation and presentation of the thesis and the operation of the supervisory panel. Any plans for extended supervisor's absence (e.g. on study leave, long service leave) during the candidature and the proposed arrangements for supervision during the absence should also be raised;
  
• agreeing on the frequency and nature of contact with commencing students. It is recognised that there are different needs at different thesis stages. As a guide, the student and the supervisor should normally meet not less than once a month and maintain other contact.
  
• providing advice on and establishing contact with possible panel members, including advisers to provide additional expertise on the panel;
  
• assisting students in the preparation of their research plan for the first twelve months;
  
• advising students regarding skills training or further study relevant to the proposed research. This may include prescribed coursework, training courses, directed reading, conference support as required, or referral to appropriate academic skills assistance in the first and any subsequent semester of enrolment in respect of a student from a language background other than English.
  
• monitoring student progress in light of the research plan for the first twelve months; and
  
• raising issues of ethical research and intellectual property, and discussing how they will be handled. This includes advice relevant to the field of research on health and safety working practices, responsible research practices including human research and/or animal experimentation requirements, and the extent of any confidentiality obligations. Prior to entering into any contractual agreement or undertaking it is recommended that the student obtain legal advice in relation to the conditions of the agreement and any confidentiality undertakings entered into. Agreements must be consistent with the relevant provisions of the Research Awards Rules and related policies and guidelines, including the Policy: Intellectual Property, Guideline: Use of Confidential Information in Research Theses, and the Guideline: Research Theses Submission and Examination: Information for Higher Degree Research Students.

3.4       During the research program, supervisors (including Chair of panel) are responsible for:

• assessing with other panel members, including advisers, the appropriateness of the student's proposed research sites, modes of analysis, and data selection;
  
• advising and negotiating with the student at the commencement or during the program, regarding any publication or joint publication likely to arise during or on the basis of the research project, to ensure appropriate and adequate recognition of the student's and the supervisor's or other joint author's contribution to the publication. A student may include published work directly in the body of the thesis;
  
• identifying shortcomings in any aspect of research plans and providing guidance for improvements. Any major decisions about the research program or any major variations to agreed expectations and guidelines or any advice that progress is unsatisfactory should be confirmed in writing and a copy given to the student, to any other supervisor and to advisers and noted in the annual research progress report;
  
• briefing students on possible challenges (e.g. difficulties in accessing data or working in particular sites);
  
• ensuring that ethical approval is in place before research commences;
  
• promoting consultation and interaction by students, within and across Colleges. This may include participation in the intellectual activity of the area through activities such as attendance and presentations at seminars and conferences;
  
• evaluating the appropriateness and effectiveness of the supervisory panel;
  
• providing opportunities for research reporting. This includes requiring written work from the student on a pre-arranged and agreed schedule, reviewing drafts of submissions for and participating in the Mid-term Review if one is required, and commenting critically to the student on the Mid-term Review presentation,
  
• introducing students to useful and effective networks. This may involve facilitating contact between the student and other researchers in related areas, including external agency, industry, or other institutional links;
  
• remaining up-to-date and informed about workshops and courses on offer for HDR students at the ANU and advising students of these; and
  
• referring students to appropriate supports and resources (e.g. University health, Insurance) if needed.

3.5       At the stage of finalising the thesis, supervisors (including chair of panel) are responsible for:

• maintaining regular contact with students, and a schedule for draft submissions;
  
• reading thesis drafts and providing timely written and oral feedback;
  
• discussing career preparation with students (e.g. post-doctoral work, publications, on-line thesis availability);
  
• introducing students to colleagues and scholars working in similar fields;
  
• reviewing and determining suitability for submission of final thesis drafts;
  
• inviting the student to suggest or comment on the suitability of possible examiners and finalising nomination at least 2 months prior to submission. The appointment of examiners is recommended by the Delegated Authority and approved by the Education Dean; and
  
• informing the student of examiner-requested thesis amendments and, if nominated, to advise the student during the revision process.

4          Responsibilities of Advisers

The responsibilities of the adviser(s) include:

• providing additional expertise on the research topic or related subjects;
  
• providing wider contacts within the University or outside;
  
• providing advice on the research proposal and the Mid-term Review presentation if one is required; and
  
• at the request of the student, advising on any matter relating to the student's program, including advice on any difficulties in the relationship between the student and the supervisor(s) or other advisers.

5          Responsibilities of Students

5.1       The responsibilities of the student at the commencement of the research program include:

• meeting promptly with the provisional supervisor to establish mutual expectations and responsibilities. This may include discussion about the aims, scope, orientation and presentation of the thesis and the operation of the supervisory panel;
  
• agreeing on the frequency and nature of contact with the prospective supervisor. It is recognised that there are different needs at different thesis stages. As a guide, the student and the supervisor should normally meet not less than once a month and maintain other contact;
  
• attending induction programs within the College and local area as well as those offered by the University;
  
• becoming familiar with the University's codes of practice for higher degree research. Students should familiarise themselves with the Research Awards Rules and act in accordance with University codes and guidelines including the Guidelines: Responsible Practice of Research, the Guideline: Minimum Allocation of Resources for Research Students, and the Intellectual Property Policy and the Code of Practice for Supervision in Higher Degrees by Research, The Code describes expectations of HDR students (in the form of milestones) and of staff (in terms of lines of responsibility), outlines a set of guidelines for sound practice;
  
• working on the research plan for the first 12 months under the direction of the Chair of panel, the supervisor and panel members;
  
• complying with local area requirements (e.g. prescribed coursework, laboratory or language training, pre-fieldwork seminars) and supervisory recommendations concerning skills training or further study; and
  
• discussing with the supervisory panel relevant issues regarding research integrity and intellectual property and how they will be handled. This includes obtaining advice relevant to the field of research on health and safety working practices, responsible research practices including human research and/or animal experimentation requirements, and the extent of any confidentiality obligations. Prior to entering into any contractual agreement or undertaking it is recommended that the student obtain legal advice in relation to the conditions of the agreement and any confidentiality undertakings entered into. Agreements must be consistent with the relevant provisions of the Research Awards Rules and related policies and guidelines, including the Policy: Intellectual Property, Guideline: Use of Confidential Information in Research Theses, and the Guideline: Research Theses Submission and Examination: Information for Higher Degree Research Students.

5.2       During the research program, students are responsible for:

• consulting with the chair and panel members about proposed research plans, before commencing research;
  
• informing the Chair and supervisor of any change in research design or content, particularly if working off-campus. This includes reporting any significant change in other commitments likely to affect progress, or any proposed period suspension of candidature or attendance at another institution. As a guide only, a full-time student should expect to devote at least 40 hours per week on average, and a part-time student at least 20 hours per week on average, to the research program during enrolment, with the exception of approved recreation leave. The Research Awards Rules also set out provisions for paid employment for HDR students;
  
• seeking feedback from the Chair, supervisor and panel members on research progress;
  
• negotiating with the supervisor regarding any publication or joint publication likely to arise during the basis of the research project, to ensure appropriate and adequate recognition of the student's and the supervisor's or other joint author's contribution to the publication. A student may include published work directly in the body of the thesis.
  
• conducting research in accordance with approved ethics clearance, and seeking fresh clearance in light of new research contacts and contexts;
  
• attending seminars and workshops arranged by the Graduate Research Field. This may also include participation in the intellectual activity of the area through activities such as attendance and presentations at seminars and conferences;
  
• becoming familiar with University policy on health and safety, and insurance issues. This may mean acquiring the necessary health and safety skills by attending health and safety training courses as required, adopting safe working practices relevant to the field of research, and adhering to the ethical practices appropriate to the discipline at all times;
  
• reporting immediately to the Chair or unit any accident or emergency;
  
• if working outside of Australia, registering with the Australian consulate;
  
• re-evaluating original research proposals in light of research findings
  
• maintaining productivity and adhering to expectations set out in the research plan. This includes submitting written work to the supervisor on a pre-arranged and agreed schedule, and actively engaging in the research program in a manner likely to produce significant results by the time of the annual review, by the Mid-term Review if one is required and by the time the thesis is due to be submitted; and
  
• taking advantage of workshops and courses on offer for HDR students at the ANU.

5.3       At the stage of finalising the thesis students are responsible for:

• maintaining close and regular contact with the Chair of panel and supervisor, particularly when working away from campus;
  
• submitting drafts according to schedule determined in consultation with the Chair of panel and supervisor;
  
• considering advice from panel members concerning the editing and revision of thesis drafts;
  
• discussing with the Chair of panel and supervisor possible thesis examiners
  
• notifying the Examinations Office in writing of the intention to submit and the final thesis title, 2 months before the expected submission of the thesis;
  
• producing thesis for examiner according to University presentation standards. These are detailed in the Guideline: Research Theses Submission and Examination: Information for Higher Degree Research Students

6.         Roles of Graduate Research Field Conveners and Graduate Research Field Advisory Groups

6.1       Higher Degree Research (HDR) students are enrolled in ANU Colleges which provide both academic supervision and resources under the direction of the head of the academic unit and ultimately of the College Dean. At the same time, HDR students may be affiliated with a Graduate Research Field covering a discipline or area of studies across the University. A list of the Graduate Research Fields is available here: http://info.anu.edu.au/studyat/Graduate_School/graduatestudiesfields 

6.2       Graduate Research Field Conveners play an important role in supporting HDR education and in facilitating cross-College collaboration on HDR matters. The Graduate Research Field Conveners can be an important first point of contact for potential students and they are involved in organising academic and social activities that enrich the educational experience of HDR students.

6.3       It is important to note that all HDR delegations lie with the relevant delegates within Colleges and so Graduate Research Field Conveners do not hold any formal HDR delegations. The role of Graduate Research Field Conveners is advisory and supportive. 

The duties that may be included in the role are described in the Guideline: Graduate Research Field Conveners and Graduate Research Field Advisory Groups [link]

7.         Responsibilities of the Associate Dean (HDR) and Delegated Authority

7.1       Each ANU College has an academic staff member who can fulfill the roles and functions outlined below.  This position may be titled Associate Dean or Sub-Dean (Higher Degree Research or Postgraduate Training) and the appointee exercises the delegations of the Delegated Authority under the Research Awards Rules for higher degree research (HDR) candidature but not thesis examination which is the responsibility of the Education Dean.[1]  The primary function of this position is to drive the HDR agenda within Colleges.

7.2       The Associate Dean (HDR) works closely with the Education/College Dean; the Education Committee of the College; the administrative staff who deal with HDR issues; Conveners of Graduate Research Fields in the College and in other Colleges which share Graduate Fields; and HDR students in the College.

The responsibilities are described in the Guideline: Associate Deans (Higher Degree Research) [link]

8.         Responsibilities of the ANU College/University

8.1       The ANU College/University are responsible at the commencement of the candidature for:

• providing induction programs to familiarise students with program guides and University resources; Each student should be advised of the entitlement for access to University facilities and resources, including:  the University Library; educational service facilities such as the Careers Centre, the Counselling Centre, the Dean of Students, the Disability Services Centre, the Health Service, the Student Welfare Office, the Academic Skills and Learning Centre, the National Centre for Indigenous Studies and the Research Student Development Centre; the ANU Chaplaincy; the Postgraduate and Research Students' Association; and Childcare Centres and Parenting Rooms.
  
• ensuring that University standards on minimum resources for supervision and research are met (including access to laboratories, offices, travel funding);
  
• providing learning support, skills workshops and courses, and facilitating cross-campus learning;
  
• providing advice and clear guidelines concerning ethical research conduct, intellectual property, and the appropriate retention or destruction of sensitive data;
  
• directing students to University legislation, codes of practice, policies and procedures relating to HDR students published at the University's website. This also includes provisions for health and safety, equal opportunity and equity, and grievances and appeals; and
  
• ensuring that reporting and review requirements are in place and advised to the student.

8.2       During the program College/University are responsible for:

• advising students about guidelines regarding studying away from campus;
  
• providing health and safety equipment (e.g. in laboratories);
  
• providing necessary laboratory and/or pre-fieldwork training (usually at the local level);
  
• providing financial support for approved fieldwork, in an equitable and transparent manner; and
  
• responding quickly and effectively to student requests for assistance in emergency situations.

8.3       At the stage of finalising the thesis the ANU College/University is responsible for:

• articulating clear regulations regarding thesis submission, including appeals provisions;
  
• approving suggested examiners after a review of their appropriateness, according to University guidelines;
  
• providing career-related information and skill development opportunities for HDR candidates;
  
• administering the ANU PREQ questionnaire in a manner that respects confidentiality;
  
• offering an exit interview opportunity for all graduating HDR students;
  
• providing a public ceremony for the conferral of HDR degrees.

[1] In some Colleges, there may be more than one academic staff member with responsibility for exercising delegations under the Research Awards Rules.