Graduate Research and Supervision Policy

1. Purpose

1.1 The Graduate Research and Supervision Policy (the policy) outlines expectations and responsibilities for managing research undertaken as part of a graduate research program at UTS. The policy supports section 11, Student Rules.

2. Scope

2.1 This policy applies to all UTS graduate research students, and to all UTS staff and affiliates acting in a supervisory capacity (hereafter supervisors).

3. Principles

3.1 UTS is committed to the principles outlined in the Australian Code for the Responsible Conduct of Research (the Australian Code).

3.2 All graduate research students and supervisors must comply with the Australian Code, the Student Rules (in particular, section 11), the Delegations and all integrity and research-related policies and procedures.

3.3 The Graduate Research School develops and publishes procedures to manage graduate research degrees and research degree candidature (refer Policies, guides and forms). Supervisors and graduate research students must comply with the procedures.

3.4 A graduate research degree is a period of supervised research. Supervision is continuous throughout a graduate research student's candidature.

3.5 Faculties and institutes (hereafter faculties) will provide all UTS graduate research students with appropriately qualified and trained supervisors. Where supervisory arrangements end or change, the university will work with the graduate research student to minimise any impact to their work.

3.6 In addition to a final thesis, the development of research skills and research integrity is considered part of a graduate research student’s training at UTS.

3.7 Faculties must establish their own internal authorities. For example, faculty research committees and faculty-specific procedures for setting limits on the number of graduate research students allocated to a supervisor at one time. All supervisors must comply with their faculty’s supervision requirements and procedures.

3.8 Theses will be managed, stored and published in line with the Open Access Policy, the Records Management Policy and the Delegations.

4. Policy statements

Supervision

4.1 UTS has 4 graduate research supervisor titles:

principal supervisors
co-supervisors
assistant supervisors
external supervisors.

4.2 All supervisors (including external supervisors) must be registered on the UTS graduate research supervisor register (the register), managed and maintained by the Graduate Research School.

4.3 Supervisors may be registered in one of 5 categories as detailed in the Supervisor register protoco l (approved by the Graduate Research School Board (GRSB)) as follows.

Category	Supervisor role
1	Can undertake all principal or co-supervisory roles for masters degree (research) or doctoral candidates.
2	Can undertake principal supervisor role for masters degree (research) candidates. Can undertake principal supervisor role for doctoral candidates so long as a category 1 supervisor is on the panel. If on a limited term appointment with the university, can undertake principal supervisor roles so long as their contract covers the duration of an individual graduate research student’s candidature. Can undertake co-supervisor roles for masters degree (research) or doctoral candidates.
3	Can undertake assistant supervisor roles.
4 and 5	Can undertake external supervisor roles.

4.4 All UTS graduate research students (hereafter students) will be supervised by a panel that includes at least 2 supervisors. Supervisory panels for masters degrees (research) and doctoral degrees must have the following composition.

Course type	Supervisory panel
Masters degree (research)	At least one principal supervisor and one co-supervisor. The panel may also include an additional co-supervisor(s) and one or more assistant or external supervisors.
Doctoral degree	At least one principal supervisor and one co-supervisor. At least one supervisor who is registered as a Category 1 supervisor on the register. The panel may also include an additional co-supervisor(s) and one or more assistant or external supervisors.

Course type

Supervisory panel

Masters degree (research)

At least one principal supervisor and one co-supervisor.

The panel may also include an additional co-supervisor(s) and one or more assistant or external supervisors.

Doctoral degree

At least one principal supervisor and one co-supervisor.

At least one supervisor who is registered as a Category 1 supervisor on the register.

The panel may also include an additional co-supervisor(s) and one or more assistant or external supervisors.

4.5 The Dean, Graduate Research School is responsible for approving all supervisory arrangements. A supervisor may only be appointed to a supervisory panel when they satisfy UTS conditions for supervisor registration in accordance with the procedures approved and published by the GRSB (refer Supervisor register protocol).

4.6 Changes to a supervisory panel are permitted but must be made in consultation with all parties and approved in line with Rule 11.11.

Supervisor responsibilities

4.7 Supervisors must provide advice to students on complying with:

the Australian Code
the Equity, Inclusion and Respect Policy and the Universities Australia principles for respectful supervisory relationships (available at Universities Australia: Respect.Now.Always)
Student Rules, the Research Policy and other relevant UTS policies
legislation relevant to the research area
any agreements associated with the student's candidature and/or research project
Graduate Research School procedures for the management of graduate research degrees (refer Supervisor register protocol).

4.8 Supervisors will support and monitor students by:

encouraging engagement with the research community
providing timely and critical feedback on written drafts, including theses
working with students to design a graduate research study plan (GRSP)
ensuring any accessibility needs and reasonable adjustments are met (refer Accessibility and Inclusion Policy and the Disability Standards for Education 2005 (issued under the Disability Discrimination Act 1992 (Cwlth))
supporting students through the thesis writing and examination processes
providing guidance in all research-related activities
overseeing all stages of the student’s candidature
ensuring frequent and continuous communication, and
assisting students in developing the necessary skills to complete their graduate research degree and future research activities, including being mindful of the potential for external influence on their research.

4.9 In addition to the responsibilities listed in statements 4.7 and 4.8, principal supervisors must:

liaise with and make recommendations to the appropriate faculty responsible academic officer (RAO) on any matters relevant to the student's candidature
provide fair and accurate progress reports to the RAO
act as a primary liaison point with students
liaise with panel members as appropriate, and
organise candidature assessments.

4.10 Supervisors must comply with the Code of Conduct and the Conflicts of Interest Disclosure Policy in relation to actual, perceived and potential conflicts of interest.

4.11 In addition, supervisors and students must act in accordance with the expectations outlined in the Universities Australia principles for respectful supervisory relationships (available at Universities Australia: Respect.Now.Always) and the requirements of the Equity, Inclusion and Respect Policy in relation to appropriate personal relationships.

4.12 Any personal relationship, including sexual or romantic relationships between a supervisor and a student, is considered a conflict of interest and must be disclosed in line with the Conflicts of Interest Disclosure Policy.

Student rights and responsibilities

4.13 Students must be aware of and comply with:

the Australian Code
the Equity, Inclusion and Respect Policy and the Universities Australia principles for respectful supervisory relationships (available at Universities Australia: Respect.Now.Always)
Student Rules (in particular, section 11)
the Student Rights and Responsibilities Policy
the Acceptable Use of Information Technology Resources Policy and the Information Security Policy
the Student Travel and Expenses Policy
research-related policies, and
any other documents or procedures required as part of a student’s candidature.

4.14 Students who are also UTS staff members must comply with the Code of Conduct as a normal condition of their employment.

4.15 Students must maintain the progress of their work in accordance with their GRSP and ongoing arrangements with the supervisory panel.

4.16 In order to fulfil the period of candidature in accordance with Rule 11.7, it is expected that students dedicate at least 35 hours a week to their graduate research program (if enrolled full-time) or a minimum of 17.5 hours a week (if enrolled part-time).

4.17 In fulfilling their ethical responsibilities, students must:

be aware of the university’s position and policies in relation to research ethics and research integrity (refer Research Policy)
make regular contact with supervisors and respond to communication and feedback
ask for support when needed, in particular where there are factors that might impact their research studies or candidature
raise difficulties arising from their research with their principal supervisor in an effort to seek resolution as soon as practicable
seek to participate in peer review processes where a research project receives public funding
disclose any actual, perceived or potential conflicts of interest as soon as they become apparent
be mindful of the potential for external influence on their research
comply with statement 4.13.

4.18 In addition to the rights outlined in the Student Rights and Responsibilities Policy, students have a right to participate in the:

negotiation of their research topic (in the constraints of faculty resources and expertise)
development of their GRSP and negotiation of the stages of their research degree.

4.19 Changes to candidature are permitted (for example, course transfer, full-time to part-time attendance mode, leave of absence, end of or changes to supervisory arrangements) and must be discussed with supervisors or an appropriate staff member as soon as any issues arise. Changes to candidature must be managed in line with section 11, Student Rules and any procedures approved and published by the GRSB.

Progress, theses and examination

4.20 The GRSP must be drafted and agreed between supervisors and students in line with section 11, Student Rules and procedures approved and published by the GRSB.

4.21 Students must maintain satisfactory progress at all stages of their research program to ensure continuation and/or completion of their candidature, in line with the Student Rules and the goals outlined in the GRSP. Extension of candidature may only be requested and approved in line with Rule 11.8.

4.22 In support of section 11, Student Rules and this policy, procedures on thesis presentation, submission and examination are approved and published by the GRSB (refer Policies, guides and forms).

Dispute management

4.23 UTS acknowledges that, from time to time, disputes may arise between the supervisor and the student. Where students have any issue or dispute they should:

advise their principal supervisor immediately with any concerns regarding the role or potential role of any person as their supervisor or examiner
contact the faculty RAO where the concerns are about a principal supervisor, and
contact the Graduate Research School where an issue persists or is not addressed by the processes above.

4.24 Supervisors must report any potential research misconduct by a graduate research student to the relevant RAO, in accordance with Rule 11.21. Where the student is also a staff member, supervisors must report any potential research misconduct in accordance with the Research Policy.

Conflicts of interest

4.25 Conflicts of interest that arise between a student and their principal supervisor, co-supervisor, assistant supervisor or any panel member should be disclosed as follows:

Concerns regarding the role or potential role of any person as their supervisor or examiner should immediately be raised with the principal supervisor for disclosure and management in line with the Conflicts of Interest Disclosure Policy.
Where the concern or conflict relates to the principal supervisor, the student must disclose the conflict to the faculty RAO or the Graduate Research School for advice and management in line with the Conflicts of Interest Disclosure Policy .
Where a conflict persists, or is not addressed as required, the student is encouraged to contact the Graduate Research School or make a complaint via the Student Complaints Policy.

5. Roles and responsibilities

5.1 Policy owner: The Deputy Vice-Chancellor (Research) is responsible for policy enforcement and compliance, ensuring its principles and statements are observed. The Deputy Vice-Chancellor (Research) is also responsible for approval of any associated university-level procedures.

5.2 Policy contact: The Dean, Graduate Research School is responsible for implementing this policy, developing any associated university-level procedures and acting as a primary point of contact for advice.

5.3 Implementation and governance roles:

Supervisors are responsible for providing guidance and advice to students throughout their candidature as outlined in this policy and any associated procedures.

Graduate research students are responsible for meeting professional standards in conducting research by adhering to all relevant university rules, policies and guidelines, as well as national codes and statements on research conduct and practice. Students are responsible for seeking guidance and training as required, as outlined in this policy.

The Graduate Research School is responsible for the approval of the graduate research supervisor register.

6. Definitions

The following definitions apply for this policy and all associated procedures. Definitions in Schedule 1, Student Rules also apply. Definitions in the singular also include the plural meaning of the word.

Assistant supervisor means a UTS salaried professional staff member who may be appointed to the supervisory panel to provide specialist support and advice to the student.

Conflict of interest is defined in the Conflicts of Interest Disclosure Policy.

Co-supervisor means the supervisor who contributes to the academic guidance and supervision of a graduate research student. The co-supervisor may sometimes act in the role of principal supervisor for administrative responsibilities associated with candidature management. A co-supervisor is a UTS salaried academic staff member or holds an honorary title with UTS that includes a defined responsibility for the supervision of graduate research students.

External supervisor means a person external to the university (ie not a UTS salaried staff member) who may be appointed to the supervisory panel to provide specialist experience and advice to the student.

Graduate research study plan (GRSP) means a formal study plan agreed between supervisors and graduate research students; identifying structures, stages, supports, development needs and tracking progress from enrolment to completion.

Principal supervisor is the lead (first) supervisor who takes primary academic and administrative responsibility for the graduate research student’s candidature. The principal supervisor is a UTS salaried academic staff member or holds an honorary title or emeritus professorship with UTS that includes a defined responsibility for the supervision of graduate research students.

Research integrity is defined in the Research Policy.

Student, for the purpose of this policy, means graduate research student.

Supervisory panel is defined in Schedule 1, Student Rules.

Approval information

Policy contact	Dean, Graduate Research School
Approval authority	Academic Board
Review year	2026
File number	UR17/2420
Superseded documents	Code of Practice for Supervisors and Research Degree Students (2014, UR14/442)

Version history

Version	Approved by	Approval date	Effective date	Sections modified
1.0	Academic Board (AB/17-2/36)	07/06/2017	29/06/2017	New instrument.
1.1	Academic Board (AB/19-3/51)	31/07/2019	26/08/2019	Amendments to supervisory titles, panel composition and reference to the graduate research supervisor register.
1.2	Academic Board (AB/20-1/10)	25/03/2020	07/04/2020	Addition of supervisor categories and amendments to supervisor definitions.
2.0	Academic Board (AB/20-4/67)	30/09/2020	28/10/2020	Updates as part of 2020 scheduled review and requirements under the Policy Impact Project.
2.1	Deputy Director, Corporate Governance (Delegation 3.14.2)	07/02/2022	07/02/2022	Changes made to reflect name change of Graduate Research School Board to Higher Degree Research Board.
2.2	Director, Governance Support Unit (Delegation 3.14.1)	01/12/2022	15/12/2022	Changes to reflect requirements of the updated Equity, Inclusion and Respect Policy and the new Accessibility and Inclusion Policy.
2.3	Academic Board (AB/23-2/34)	24/05/2023	01/07/2023	Changes to align with and refer to the new Conflicts of Interest Disclosure Policy and to align with the Student Rules.
2.4	Deputy Director, Corporate Governance (Delegation 3.14.2)	22/09/2023	06/10/2023	Amendments to reflect name change of Higher Degree Research Board to Higher Degree Research Committee and the new Graduate Research School Board.
2.5	Academic Board (AB/23-5/92)	15/11/2023	12/12/2023	Changes to reflect the new Academic Integrity Policy and updates to the Research Policy.
2.6	Deputy Director, Corporate Governance (Delegation 3.14.2)	20/06/2024	08/07/2024	Updates to reflect the review of the Acceptable Use of Information Technology Resources Policy and the Information Security Policy.