Scholarships and Prizes Procedure

1. Purpose

1.1 The Scholarships and Prizes Procedure (the procedure) supports and implements the Scholarships and Prizes Policy (the policy). This procedure applies to all UTS scholarships and prizes.

2. Scope

2.1 The scope of the policy applies for this procedure.

3. Principles

3.1 The principles outlined in the policy apply for this procedure.

4. Procedure statements

Award approval and establishment

4.1 Faculties, centres and/or units (hereafter faculties) wishing to establish a scholarship or prize must seek advice and guidance from the Lifetime Learner Experience Unit (LLEU) or the Graduate Research School (GRS) in the first instance (refer also the policy).

4.2 LLEU is responsible for coordinating the establishment and approval process for coursework student scholarships and all prizes. The GRS is responsible for coordinating the establishment and approval for graduate research student scholarships.

4.3 Conditions of award must be developed on the approved templates:

Conditions of award for UTS scholarships (SharePoint), and
Conditions of award for UTS prizes (SharePoint).

4.4 Faculties may wish to establish a cross-faculty award and/or negotiate with another area (for example, LLEU) to manage aspects of an award’s administration. In this case, clear division of roles and responsibilities must be documented, endorsed and approved in the conditions of award.

4.5 LLEU or the GRS as appropriate (hereafter coordinating unit) will work with the faculty to develop conditions of award for approval in line with the policy, the Student Rules and the expectations of donors or sponsors.

4.6 Where an award does not comply with the normal value or duration requirements of the policy the proposer must seek approval from the Provost before proceeding with award condition development, award approval or review (refer the policy and UTS Delegations).

Award funding and gift agreements

4.7 Scholarships and prizes can be funded:

internally, by the university or faculty
externally through donations, sponsorships or government funding, or
by a combination of internal and external funding sources.

4.8 The process for securing donations for UTS scholarships and prizes is governed by the Philanthropic Fundraising Policy and the Delegations.

4.9 In some cases, the source of funding may initiate the award establishment process. Where a potential or current donor contacts a faculty about establishing an award, the Advancement Unit must be contacted as soon as possible for support and advice on due diligence processes, drafting, negotiating and accepting gift agreements and any tax implications (refer Philanthropic Fundraising Policy).

4.10 The conditions of award and the gift agreement (or sponsorship agreement) are interdependent documents but must be aligned.

4.11 UTS does not provide advice to third parties on tax implications of donations and sponsorships. Third parties must obtain independent advice.

4.12 If the funds take the form of a sponsorship agreement the Partnerships and Precincts Unit will provide advice on the establishment of sponsorship agreements or contracts (refer Why connect with UTS?).

4.13 The Research Office provides support and guidance for faculties in relation to identifying and securing external sourcing of sponsorship and government funding arrangements.

Endorsement and approval of award conditions

4.14 Details and requirements for conditions of award are outlined in the policy. All stakeholders must endorse the conditions of award before submission for approval as outlined in table 4.14 and in the templates. The coordinating unit will arrange the final approval of conditions of award in line with the policy and the Delegations.

Table 4.14: Conditions of award

Award type	Coordinating unit	Endorsement	Approval of conditions of award
Cross-faculty scholarships (coursework)	LLEU	LLEU Faculties Other stakeholders	Director, Student Administration
Cross-faculty scholarships (graduate research)	Faculties	LLEU GRS Faculties	Faculty boards
Faculty-based scholarships (coursework)	LLEU	LLEU Other stakeholders	Faculty boards
Scholarships (graduate research)	GRS	GRS Other stakeholders	Graduate Research School Board (GRSB)
Scholarships or prizes below normal minimum value	LLEU GRS	Faculties Other stakeholders	Provost
Prizes (coursework)	Faculties	LLEU Other stakeholders	Faculty board
Prizes (graduate research)	Faculties	GRS Other stakeholders	GRSB
Internally funded prizes	Faculties	LLEU Other stakeholders	Provost
Donor-funded awards			Advancement

4.15 Faculties, GRS or LLEU will add the award details to the UTS authoritative source database and publish at Scholarships at UTS.

Award management, communication and promotion

4.16 Awards are managed and communicated in line with the policy. Faculties may, in consultation with LLEU, the Marketing and Communication Unit (MCU), GRS and the Advancement Unit (as appropriate), develop further or specific marketing and publications plans for their scholarships and prizes.

4.17 Faculties, GRS or LLEU must maintain an official file for each scholarship and prize in line with the Records Management Policy and the Privacy Policy, including:

all versions of approved conditions of award
establishment information
copies of all relevant signed agreements and/or contracts
documents relating to funding
award approval and review dates
minutes/notes of scholarship and prize selection committee meetings
general information and expenditure records
recipient selection decisions and rationale, and
recipient details and management.

4.18 Scholarships and prizes recipients must be recorded in the UTS student system by faculties, GRS or LLEU as appropriate.

4.19 Faculties must consult with LLEU when arranging any scholarship and prize giving events.

Award recipient payment

4.20 Award recipients are paid using the UTS supported system for reconciliation, reporting and auditing purposes as managed by the Finance Unit.

4.21 To ensure accuracy in reconciliation, reporting and for auditing purposes:

all recipient payments must be identified as a scholarship or prize expense using the relevant code from the designated list of scholarship and prize ‘natural accounts’ (available from the Finance Unit)
all payments are made from a dedicated scholarship activity under the faculty’s accounting organisational unit
all payments are made to an Australian bank account under the award recipients name, commencing when the recipient is onshore in Australia (unless otherwise approved by the Finance Unit and recorded as part of the approval information)
where recipients receive regular ongoing payments (for example, stipends), and their payments could be taxable, payments are to be made by the Finance Unit in the manner approved by the Finance Unit.

4.22 In some cases, payments to recipients can be planned flexibly to suit the scholarship or duration or may be stipulated in the conditions of award. Tuition fee payments are normally made directly to the recipient’s UTS tuition fee account.

Award review process

4.23 Faculties must review their scholarships and prizes every 3 years at a minimum, assessing compliance with the policy, this procedure and the conditions of award. The Advancement Unit will be involved in reviews of donor-funded scholarships. Reviews should also assess:

volume of eligible applicants
number of recipients
recipient feedback (where appropriate or relevant)
general management and administration
communication/marketing strategies
value of scholarship or prize
donor feedback (if applicable).

4.24 Data on student cohorts may be used to assess application numbers, acceptance and proposed eligibility criteria. Awards with low numbers of eligible students, or low applicant numbers, must be reviewed and the conditions of award amended.

4.25 A review may result in one of the following recommended outcomes:

continuation of the award without change
proposed changes to some or all conditions of award
a recommendation to phase out and/or disestablish an award.

4.26 Review recommendations are provided to LLEU or GRS for endorsement and feedback, considered by the selection committee or equivalent (refer the policy) and approved by the authorised delegate (refer Delegations).

Changes, phasing out and disestablishment

4.27 Where there is a proposed change to conditions of award, existing scholarship recipients should only be obliged to transfer to the revised/new conditions when this is deemed reasonable and does not disadvantage the recipient (for example, in relation to the value or duration of the scholarship).

4.28 Where a scholarship recipient is required to transfer to the revised/new conditions of award, transitional arrangements must be provided as part of the review recommendations.

4.29 LLEU or GRS as appropriate will manage proposals for an award to be changed, phased out or disestablished. Where a change to a scholarship, or where the phasing out and/or disestablishment of a scholarship, is proposed the conditions of award must not change for current scholarship recipients.

4.30 In rare cases, where an approved recommendation to change, phase out or disestablish a scholarship impacts current recipients, responsibility for communicating this change (by faculties, LLEU, GRS or the Advancement Unit) must be clearly articulated in the approval recommendation. Recipients must be advised of:

the specific type and nature of any changes
the date from which these changes take place
direct impact to the student, including whether recipients may continue under the existing conditions.

4.31 Where, on review, an award continues or does not comply with the requirements of the policy in relation to the minimum award value, the faculty must:

for coursework awards, provide a business case outlining the rationale for award viability and seek approval from the Provost (in line with the normal approval processes). The template approval document is available from LLEU on request.
for graduate research scholarships, seek endorsement from the Dean, GRS and approval from the Provost in line with the normal approval processes.

4.32 The Advancement Unit must be consulted for proposed changes to donor-funded awards. The Advancement Unit will liaise with the donor to ensure that they are aware of changes, and the original intent of the donation is maintained or amended with their endorsement.

Annual reports

4.33 The Advancement Unit in conjunction with the faculties and LLEU will provide a report to donors regarding their scholarships, prizes and award recipients.

Condition of award breaches and misconduct

4.34 Selection committees are responsible for considering breaches of conditions of award by recipients (refer the policy).

4.35 Breaches of this policy may be managed as a case of student misconduct (refer section 16, Student Rules) and/or a breach of conditions of award as appropriate to the type and nature of the breach. This is determined on a case-by-case basis.

4.36 Where a recipient is found to have breached the conditions of award, the selection committee will discuss and propose the outcome of the breach. For donor-funded awards, the Advancement Unit must be notified and will manage communications with donors before a decision is made by the delegate responsible for approving award recipients (refer the policy and Delegations).

4.37 Outcomes may include:

continuation of the scholarship with no changes to the scholarship conditions
a requirement to seek academic advice and support for the following session of study
suspension of the scholarship for one session, with the relevant scholarship payment for the period forfeited, on the condition that the recipient meets the ongoing eligibility requirements during the suspension of the scholarship (the scholarship will then be reinstated and payments resumed from the following session), or
termination of the scholarship.

4.38 The recipient will be notified in writing of the recommendation of the selection committee and the decision of the delegate. Clear and transparent records must be kept of all decisions in line with the Records Management Policy.

4.39 When a suspension or termination of a scholarship is recommended and approved, the recipient must be notified in writing and be given 10 working days to respond. Any response (or non-response) from the recipient must be considered by the selection committee.

4.40 Where the recipient provides satisfactory evidence that demonstrates clear mitigating circumstances, the selection committee may decide to adjust the outcome of the breach of the conditions of award. The Advancement Unit may also discuss with the donor where necessary and appropriate. A donor-funded scholarship will not be re-offered until confirmed by Advancement.

4.41 Recipients required to reimburse any part of the scholarship payment as part of a termination decision (in line with the conditions of award) must be informed of the process of reimbursing funds as part of the scholarship termination notice and must comply with these terms.

5. Roles and responsibilities

5.1 Procedure owner: The Provost is responsible for the approval, enforcement and compliance of this procedure, ensuring that its principles and statements are observed.

5.2 Procedure contact: The Director, Student Administration is responsible for the day to day implementation of this procedure, and acts as a primary point of contact for advice on fulfilling its provisions. The Director, Student Administration is also responsible for approval and publication of the conditions of award templates.

5.3 Implementation and governance roles: In addition to those outlined in the policy, the following responsibilities apply for this procedure.

The Advancement Unit is responsible for:

establishing and maintaining donor-funded awards (refer also Philanthropic Fundraising Policy) in consultation with the LLEU
providing guidance and advice on communicating with donors, and
liaising with donors in relation to all matters relating to donor-funded awards.

Responsible faculties, centres and units are responsible for the management of prizes and coursework scholarships (and their recipients) unless otherwise negotiated, in line with the policy and this procedure.

The Research Office provides support in identifying and securing external sourcing of sponsorship and government funds in line with this procedure.

6. Definitions

The definitions outlined in the policy apply for this procedure.

Approval information

Procedure contact	Director, Student Administration
Approval authority	Provost
Review date	Three years post approval
File number	UR21/1298
Superseded documents	Scholarship and Prize Establishment and Management Procedures (UR12/1405)

Version history

Version	Approved by	Approval date	Effective date	Sections modified
1.0	Provost	06/12/2021	16/12/2021	New procedures.
1.1	Director, Governance Support Unit (Delegation 3.14.1)	25/08/2022	25/08/2022	Clarification of ongoing eligibility requirements and complaints processes.
1.2	Deputy Director, Corporate Governance (Delegation 3.14.2)	05/04/2023	19/04/2023	Amendments to reflect new position of Director, Student Administration in the Lifetime Learner Experience Unit.
1.3	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 new Graduate Research School Board.