HDR Supervision
- HDR Supervision Policy
- Supervision of Higher Degree by Research Candidates Procedure
- Responsibilities for Supervision of HDR Candidates Procedure
- Forms
- Printable PDF Version
This Procedure is to:
- Enable eligible persons acting as supervisors of Higher Degree by Research candidates to meet the requirements for being admitted to, and retained on, the Register of Research Higher Degree Supervisors;
- Enable Higher Degree by Research candidates to understand the process for appointing and changing supervisors.
This Procedure applies to all Higher Degree by Research candidates, and all persons with supervisory responsibilities for Higher Degree by Research candidates.
Regulation 5.1 – Higher Doctorates, The Doctoral Degree (Research), The Doctoral Degree (Professional), and The Masters Degree (Research).
Term | Definition |
---|---|
Associate Supervisor | A person who is an employee of the University and provides support to the student and to the Principal Supervisor. |
AQF | Australian Qualifications Framework |
Candidate | A student enrolled in a Higher Degree by Research program. |
Co Supervisor | A person who provides support to the student and to the Principal Supervisor but is external to the University and is not an employee of the University. |
HDR | Higher Degree by Research |
Principal Supervisor | A person who is an employee of the University and has prime responsibility for guiding the progress of a designated higher degree by research student. |
Probationary Candidate | A candidate enrolled in a Higher Degree by Research program who has not yet completed Confirmation of Candidature. |
Provisional Principal Supervisor | A person who, under the direction of an appropriately experienced mentor, has responsibility for guiding the progress of a designated higher degree by research candidate. |
RHDSC - Research Higher Degrees Sub- Committee | A Sub-committee of Research Committee, handles all operational matters requiring Committee approval that relate to HDR students. |
Supervisory Panel | A panel consisting of at least two members (including the Principal Supervisor and at least one associate supervisor) which oversees the planning and execution of the project and preparation and submission of the thesis. |
HESF | Tertiary Education Quality and Standards Agency, Higher Education Standards Framework |
Supervisor Registration
All applications for admission to the Register of Higher Degree Research Supervisors will be made on the prescribed form. Registration is for a period of four years. Eligibility, categories and requirements of supervision are outlined in the Supervision of Higher Degree by Research Candidates Policy.
Supervisors may be registered in one of the following categories:
- Principal Supervisor (eligible to supervise PhD and Masters candidates as the lead supervisor)
- Provisional Principal Supervisor (eligible to supervise PhD and Masters candidates overseen by a mentor)
- Associate Supervisor (eligible to supervisor only as part of a team lead by a Principal Supervisor)
- Co-supervisor (in the case of an external supervisor)
In some instances depending on experience and qualifications, applicants may be approved to be Principal or Associate supervisor to Masters level students only.
Step | Who is responsible | Comment | |
---|---|---|---|
1. | Staff member completes Application for Admission to Register of Higher Degree by Research Supervisors | Staff member | The staff member must be aware of the requirements for each category of supervision which must be met to be listed on the register. The staff member must provide all information required, including details of training undertaken. |
2. | The application is forwarded to the Dean or nominee | Staff member | |
3. | The Dean or nominee approves the categories of supervision for which the staff member is nominated | Dean |
The Dean should be satisfied that the staff member nominated has the appropriate expertise, experience and level of research activity to meet the requirements for registration. Where a staff member is nominated as a Provisional Principal Supervisor an appropriately experienced mentor must be nominated. |
4. | The application is forwarded to DVC(RI) or nominee for approval | School | |
5. | DVC(RI) assesses application for appropriate supervision category (i.e. Principal Supervisor, Associate etc) | DVC (RI) |
The DVC(RI) will assess the supervisor application and assign an appropriate supervision category(ies) based on the information provided in the application. Supervision categories will be assigned as:
Some Supervisor categories may only be approved to supervise Masters level students. |
6. | DVC(RI) forwards supervision recommendation to RHDSC | DVC(RI) or nominee | RHDSC will accept / reject the recommendation and advise Research Services. |
7. | DVC(RI) advises applicant of application outcome | DVC(RI) or nominee | The DVC(RI) or approved nominee will contact the supervisor advising them of their registration status. |
8. | The register is updated and the staff member’s details added | RS | Notification will be emailed to the applicant advising that they have been added to the register. |
The term of appointment for honorary, adjunct and fixed term staff applying for admission to the Register of Supervisors as Principal of Associate supervisors must be at least equivalent to the duration of candidature as outlined in Regulation 5.1.
Principal and Associate Supervisors who cease paid employment with the University and successfully gain an honorary appointment may be approved by the Dean and DVC(RI) to continue with their supervision duties.
Supervisors who cease their employment or honorary appointment may apply to continue to be a member of supervisory panels as an External Co-supervisor.
Continuation, Renewal and Revocation of Registration
Re-registration is not automatic, and must be approved by reapplication. University staff including honorary and adjunct staff members who are registered to supervise will continue to be registered for a four year period unless one of the following conditions applies:
a) staff cease employment (paid or honorary appointment) with the University; supervisors who cease their employment or honorary appointments may apply to continue to be a member of supervisory panels as an External Co-supervisor;
b) staff no longer actively participate in original research;
c) staff have their registration revoked.
The Dean (or nominee), of the School is responsible for ensuring that registered supervisors within their School continue to meet the supervisor registration requirements. Three months prior to the end of the fourth year of registration, the DVC(RI) or approved nominee will request that the supervisor's Dean (or nominee) evaluate the supervisor's performance over the previous four years and recommend whether the supervisor's registration should be continued for a further four years. The DVC(RI) may undertake a review of supervision registration at any time. The Dean may independently request a review before the end of the fourth year. In making a recommendation to the DVC(RI) for registration continuation/removal the Dean shall have regard to the extent to which the supervisor continues to meet the conditions for registration.
Re-registration
The equivalent of four hours of refresher or update training or development (internal or external training, and/or relevant/equivalent experience) is a requirement for re-registration of all supervisors in addition to an evaluation/recommendation by the Dean.
Timeline: Three months prior to their registration expiration date Supervisors will be provided with notice in writing to their staff email address. The School must submit the application, complete with Dean recommendation to Research Services at least four weeks prior to the registration expiration date. DVC(RI) (or nominee) will assess the application and advise the applicant of the outcome prior to the expiration date.
Standard review process:
Step | Who is responsible | Comment | |
---|---|---|---|
1. | Supervisor advised that registration due to expire | Research Services | Research Services will advise supervisors when their registration is to expire at least three months prior to the expiration date. |
2. | Supervisor re-applies for continued registration | Supervisor | Using the Re-registration application form, the supervisor applies to continue registration |
3. | Application is forwarded to the Dean or nominee for approval | Supervisor | |
4. | Dean assesses application and makes a recommendation | Dean or nominee |
The Dean, or nominee, of the supervisor is responsible for ensuring that registered supervisors within their School continue to meet the supervisor registration requirements. Dean or nominee evaluates the supervisor's performance over the previous four years and recommends whether the supervisor's registration should be continued for a further four years. The Dean may recommend to the DVC(RI) or approved nominee that registration be:
|
5. | Application forwarded to DVC(RI) or nominee for approval | Dean | |
6. | DVC(RI) assesses application and makes a recommendation | DVC(RI) or nominee | The DVC(RI) or approved nominee may accept or decline the Dean’s recommendation |
7. | DVC(RI) forwards supervision application to RHDSC | DVC(RI) or nominee | |
8. | RHDSC accepts or rejects recommendation | RHDSC | RHDSC will accept / reject the recommendation and advise Research Services. |
9. | Supervisor advised of renewal / non-renewal of supervisor status | DVC(RI) or nominee | The DVC(RI) or approved nominee will contact the supervisor advising them of their registration status. Continuation of registration might be conditional on meeting particular professional development requirements. |
Review by request from Dean or DVC(RI):
In instances where the Dean has requests a review of a supervisors supervision status.
1. | Dean reviews supervisor and candidate information against Revocation and non-renewal circumstances, as per Supervision of Higher Degree by Research Candidates Policy | Dean | Dean may request information from Research Services regarding supervisors and their candidates. |
2. | Dean meets with supervisor to discuss circumstances | Dean / Supervisor | Dean may meet with past or current candidates to discuss their supervision |
3. | Dean makes recommendation to DVC(RI) or nominee on the continuation of supervision status | Dean |
The Dean may make one of the following recommendations:
|
4. | DVC(RI) reviews case and makes a recommendation to RHDSC | DVC(RI) or nominee | The DVC(RI) or nominee will review the case and relevant information and recommend that RHDSC accept or reject the case |
5. | RHDSC assesses the application and accepts or rejects the DVC(RI) recommendations | RHDSC | RHDSC will provide a recommendation and actions for the School |
6. | Dean undertakes actions resulting from the RHDSC recommendation | RHDSC / Dean | |
7. | Research Services updates Register of Supervisors, where required | Research Services |
Supervision Load
The normal maximum supervision load that may be carried by supervisors in different categories presented below. In exceptional circumstances these loads may be subject to adjustment. Such adjustment requires the approval of the Dean or nominee.
Principal Supervisor: | Where other duties are not reduced, normally not more than 6 equivalent full-time candidates; where the principal supervisor is a full time researcher, normally not more than 12 equivalent full-time candidates. |
---|---|
Provisional Principal Supervisor: | Where other duties are not reduced, normally not more than 4 equivalent full-time candidates. |
Associate Supervisor: | Where other duties are not reduced, normally more than 4 supervisory panels. |
Co Supervisor: | Normally a member of not more than 4 supervisory panels. |
When allocating and approving the nomination of academic staff as supervisors and members of supervisory panels the following factors should be considered:
- University and School workload models,
- Workload balance between teaching, research and administrative responsibilities,
- The completion rate of candidates previously supervised by the nominated staff member,
- The frequency of candidate complaints relating to the nominated staff member,
- The composition of the panel(s) and verification that the panel(s) are duly constituted according to this procedure.
Appointing a supervisory panel
Each approved supervisory panel will, where possible, include at least one new (less experienced or trainee) Associate Supervisor. This ensures that new members of staff and developing supervisors have the opportunity to become Associate Supervisors. Exceptions to this may occur in some disciplines under exceptional circumstances and with the approval of the DVC (RI). Formal mentoring for Associate Supervisors is a requisite part of joining a supervisory panel.
Step | Who is responsible | Comment | |
---|---|---|---|
1. | Application for Enrolment as a Probationary Candidate sent to School | Research Services | |
2. | Supervision section completed and signed by nominated supervisors | Nominated principal supervisor | Following discussion with the applicant, Principal and associate supervisors are nominated. The nominated Principal supervisor provides details of arrangements for supervision if the Principal supervisor’s appointment is not renewed. |
3. | ADR section completed and signed by ADR or HDR Coordinator | ADR/HDR Coordinator |
School confirms that nominated supervisors are research active, and have appropriate expertise and experience. Completed application form signed by Principal and Associate Supervisors and ADR or nominee should be returned to Research Services |
4. | Application form returned to Research Services | School | |
5. | Application form along with supervisory panel nominations sent to RHDSC for approval | Research Services / RHDSC | RHDSC approves / rejects supervisory panel along with Probationary Candidate Application |
6. | Confirmation of registration of nominated supervisors and entry into Research Management System | Research Services |
Change of Supervisor
Requests for changes to a candidate’s supervisory panel should be made using the appropriate form.
The student or supervisor may request a change in supervisory arrangements at any time during the period of candidature. The RHDSC approves changes to supervision arrangements.
Candidate-initiated supervisor change
1. | Candidate discusses change of supervisor with current supervisor or ADR or nominee | Candidate | Where the candidate is unable to discuss the change of supervision with their current supervisor, the candidate should discuss their request to change supervisors with the ADR or Nominee. |
2. | Candidate completes appropriate form and submits to Supervisor or Dean or nominee | Candidate | The form may be submitted directly to the ADR or Nominee where it is impractical for the current supervisor to sign. |
3. | Dean forwards to DVC(RI) or nominee for approval | Dean or Nominee | |
4. | DVC(RI) approves new panel membership and forwards to RHDSC | DVC(RI) or nominee | DVC(RI) or nominee endorses new supervisory panel membership |
5. | DVC(RI) forwards to RHDSC for approval | DVC(RI) or nominee | |
6. | RHDSC approves new panel membership | RHDSC | RHDSC notes the new supervisory arrangements for the candidate |
7. | Research Services records the change in supervisory arrangements in Research Management System | Research Services | Research Services updates the panel membership and removes previous panel members. |
Supervisor-initiated
Timeline: Supervisors must allow adequate time for replacement supervision to be secured. When a supervisor is no longer authorised or is unable to continue in the role, the relevant ADR or HDRC initiates procedures to appoint a replacement within 10 working days
1. | Supervisor discusses change of supervisory panel with ADR or nominee | Supervisor | Where the current supervisor is leaving the University or not re-applying for supervision status, the current supervisor is responsible for discussing this with their candidates and providing suitable supervision suggestions to the candidates and ADR or nominee. |
2. | Supervisor discusses change in panel with candidate | Supervisor | Supervisors should discuss any change in panel membership with the candidate prior to completing and submitting the appropriate form |
3. | Supervisor completes appropriate form and submits it to Dean or nominee | Supervisor | |
4. | Dean forwards to DVC(RI) or nominee for approval | Dean or Nominee | |
5. | DVC(RI) approves new panel membership and forwards to RHDSC | DVC(RI) or nominee | DVC(RI) or nominee endorses new supervisory panel membership |
6. | RHDSC approves new panel membership | RHDSC | RHDSC notes the new supervisory arrangements for the candidate |
7. | Research Services records the change in supervisory arrangements in Research Management System | Research Services | Research Services updates the panel membership and removes previous panel members. |
- Australian Qualifications Framework.
- TEQSA Higher Education Standards Framework.
- Supervision of Higher Degree by Research Candidate Policy.
- Code of Practice for Supervision of Higher Degree by Research Candidates Procedure.
- Application form for Admission to the Register of Higher Degree by Research Supervisors.
- Federation University Australia Responsibilities for the Provision of Research Higher Degrees (these details are included in the Higher Degrees by Research Roles and Responsibilities Procedure).
- Federation University Australia - Joint NHMRC /AVCC Statement and Guidelines on Research Practice (these details are included in the Higher Degrees by Research Roles and Responsibilities Procedure).
- Attributes Expected Of Higher Degree by Research Graduates of Federation University Australia.
Candidate
Change of Supervisor
- Discus requests for change in supervision with appropriate staff
- Submit form to Research Services for change in supervision
Supervisors
Registration of supervisors
- Complete Application for Admission to Research Higher Degree Supervisors
- Provide up-to-date CV and supporting documents with application
Continuation of Registration
- Submit re-application for continued registration to ADR
Appointment of a supervisory panel
- Complete the supervisor section Application for Enrolment as a Probationary Candidate
Change of Supervisor
- Discuss any changes to the supervision team with the candidate
- When leaving a supervisory panel, discuss any suitable replacements with ADR or nominee and Dean or nominee
ADR or Nominee
Appointment of a supervisory panel
- Complete the ADR section of the Application for Enrolment as a Probationary Candidate, endorsing the capacity of the School and Supervisor to support the candidate
Change of Supervisor
- Discuss any change of supervisor requests with candidates and supervisors
- Discuss suitable replacements with supervisors and candidates
- Complete appropriate form when requesting change
- Approve requests for changes in supervision by candidate
Dean or Nominee
Registration of supervisors
- Assess applications for Admission to Research Higher Degree Supervisors, ensuring that expertise, experience and level of research activity meet the requirements for registration
Continuation of Registration
- Dean assesses applications for re-registration and recommends re-registration, discontinuation or registration with conditions.
Change of Supervisor
- Approves change in supervision arrangements
DVC(RI) or Nominee
Registration of supervisors
- Assesses applications for Admission to Research Higher Degree Supervisors and approves a supervision level on the basis of research activity and previous experience
- Advises applicant of the outcome of their application
Continuation of Registration
- Accepts or declines the recommendation of the Dean
- Review supervision registration, where required
Change of Supervisor
- Approves changes to supervision arrangements
RHDSC
- Approves registration of and changes in supervision
Research Services
Registration of supervisors
- Records supervisor applications and nominated levels of supervision on the Register
Continuation of Registration
- Sends supervisors reminder emails prior to their lapse in registration
Appointing a supervisory panel
- Ensures all nominated staff are on the Register of Supervisors
Change of Supervisor
- Records any changes in supervision on the Research Management System
The HDR Supervision Procedure will be communicated throughout the University via:
- an Announcement Notice under ‘FedNews’ website and through the University Policy - ‘Recently Approved Documents’ webpage to alert the University-wide community of the approved Policy;
- inclusion on the University Policy, Procedure and Forms website; and/or
- distribution of e-mails to Head of School / Head of Department / University staff; and/or
- documentation distribution, eg. posters, brochures.
- Other - please describe
The HDR Supervision Procedure will be implemented throughout the University via:
- Information Sessions; and/or
- Training Sessions; and/or
- Other - please describe
Title | Location | Responsible Officer | Minimum Retention Period |
---|---|---|---|
Application form for admission to the Register of Higher Degree Research Supervisors | Research Services. | Director, Research Services | Temporary - retain 12 months after application decision |
Application forms for appointment as: Director of Provisional Principal Supervisors & Provisional Principal Supervisor. |
Research Services |
Director, Research Services | Temporary - retain 12 months after application decision |
Register of Higher Degree Research Supervisors | Research Services | Director, Research Services | Permanent |