Higher Degree Research Supervision

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Higher Degree Research Supervision

SUMMARY

The Higher Degree Research Supervision Policy specifies the fundamental principles and appointment provisions underpinning higher degree research (HDR) supervision at Macquarie University.

The Higher Degree Research Supervision Procedure specifies the roles and responsibilities associated with the supervision of higher degree research (HDR) candidates.

POLICY

1 PURPOSE

To specify the fundamental principles and appointment provisions underpinning higher degree research (HDR) supervision at Macquarie University.

2 BACKGROUND

Supervision is the most important support offered by the University to research candidates. Objective 2 of the Strategic Research Framework 2015-2024 states that the University will ‘provide unrivalled and inspirational supervision; enable a transformative research experience; provide opportunities to engage with the real world; offer internationally-aligned programs with global relevance; and support [candidates] with personally enriching experiences and excellent support structures’.

The supervision of research candidates must provide the highest quality of academic and professional mentoring and advice. The University aims to develop a rich campus-wide and off-campus culture of reflective research supervision founded on mutual respect and co-operation that values and fosters the HDR candidate experience. The University sets minimum standards for the appointment of HDR Supervisors. It also recognises the contribution HDR supervisors make by offering an HDR Supervision Fellowship Program, promotion criteria related to HDR supervision, and HDR Supervision Awards.

3 SCOPE

This policy applies to all individuals engaged in the provision and support of HDR supervision, including University staff, and individuals appointed to adjunct or advisory positions. Obligations for HDR candidates are outlined in the HDR Handbook and Guide for Candidates and Supervisors.

4 DEFINITIONS

Commonly defined terms are located in the University Glossary.

5 POLICY STATEMENT

5.1 THE UNIVERSITY’S HDR SUPERVISION FRAMEWORK

To achieve Objective 2 of the Strategic Research Framework 2015-2024, four interconnected dimensions frame the development of HDR supervision.

Engagement and Influence – appropriate methods are adopted to foster an HDR candidate’s capacity to achieve world-leading research with world-changing impact
Knowledge – reflective supervision pedagogy and evidence-informed approaches are utilised
Governance and Organisation – appropriate candidature management and HDR governance underpin a candidate’s journey
Effectiveness – appropriate evaluation of supervisory practices is routinely conducted.

These will be achieved through the practices of HDR supervisors, supported by appropriate University certification and provision of professional development, an HDR Supervision Fellowship Program, and the University’s Academic Promotions Policy.

5.2 CATEGORIES OF SUPERVISOR

There are eight categories of supervisor.

1. Principal Supervisor (Doctoral/M Phil)

2. Associate Supervisor (Doctoral/M Phil)

3. Research Masters Supervisor

4. Associate Supervisor (Research Masters)

5. Higher Degree Research Cultural Advisor

6. Adjunct Higher Degree Research Supervisor

7. Higher Degree Research Advisor

8. Higher Degree Research Supervisor (End-User Partnership).

5.3. MINIMUM STANDARDS FOR APPOINTMENT TO AN HDR SUPERVISION ROLE

HDR supervisors must meet the following minimum standards for appointment to respective roles.

Role	Minimum standards
Principal Supervisor (Doctoral/M Phil) Acting Principal Supervisor (Doctoral/M Phil)	Must be a Macquarie University staff member or an employee of an affiliated organisation with which the University has a formal agreement who holds a conjoint appointment Must have met mandatory training requirements for HDR Supervision Must be research active according to the Macquarie University definition Holds a PhD or equivalent Must be able to provide ‘continuity of supervision’. Discretion exists for Faculty to determine how to achieve ‘continuity of supervision’. In most instances, this may be achieved by appointing a Principal Supervisor who is on a contract of 3 years or more.
Associate Supervisor (Doctoral/M Phil) Acting Associate Supervisor (Doctoral/M Phil)	Must be a Macquarie University staff member Must have met mandatory training requirements for HDR Supervision Must be research active according to the Macquarie University definition Holds a PhD or equivalent Must be able to provide ‘continuity of supervision’. Discretion exists for Faculty to determine how to achieve ‘continuity of supervision’. In most instances, this may be achieved by appointing an Associate Supervisor who is on a contract of 3 years or more.
Research Masters Supervisor Acting Research Masters Supervisor	Must be a Macquarie University staff member Must have met mandatory training requirements for HDR Supervision Must be research active according to the Macquarie University definition Holds a qualification at or above Master of Research or equivalent Is employed on a minimum of a 12-month contract for the duration of the appointment, or where the candidate is part-time, is appointed on the discretion of Faculty that the person can provide ‘continuity of supervision’.
Associate Supervisor (Research Masters) Acting Associate Supervisor (Research Masters)	Must be a Macquarie University staff member Must have met mandatory training requirements for HDR Supervision Must be research active according to the Macquarie University definition Holds a qualification at or above Master of Research or equivalent Is employed on a minimum of a 12-month contract for the duration of the appointment, or where the candidate is part-time, is appointed on the discretion of Faculty that the person can provide ‘continuity of supervision’.
Higher Degree Research Cultural Advisor	May or may not be a current Macquarie University staff member Meets, through equivalence, the standards for appointment to an Adjunct Higher Degree Research Supervisor role Is requested by the Principal or Acting Principal Supervisor (Doctoral/M Phil), or by the Research Masters Supervisor or by the Candidate Is recommended by Walanga Muru Completes Macquarie University Orientation for Higher Degree Research offered by Walanga Muru in partnership with the Dean of HDR within 12 weeks of appointment.
Adjunct Higher Degree Research Supervisor	Is not a current Macquarie University staff member Holds a qualification or relevant research experience or equivalent at or above the level of the HDR award they are supervising Is making, or has made, an original contribution to a relevant field, industry or discipline Completes Macquarie University Orientation to HDR Supervision for Adjunct Supervisors within 12 weeks of appointment.
Higher Degree Research Advisor	Is not a Macquarie University staff member Brings specialised knowledge, skills, attributes and/or field experience to the candidate’s research training Is appointed on the basis of a Curriculum Vitae and written recommendation by the Principal Supervisor (Doctoral/M Phil) or the Research Masters Supervisor, and the Associate Dean HDR Completes orientation to the University Code of Conduct, and the University Code for the Responsible Conduct of Research within 12 weeks of appointment.
Higher Degree Research Supervisor (End-User Partnership)	Is not a Macquarie University staff member Brings specialised knowledge, skills, attributes and/or field experience to the candidate's research training Holds a qualification or relevant research experience or equivalent at or above the level of the HDR award they are supervising Is making, or has made, an original contribution to a relevant field, industry or discipline Shares supervision responsibilities with the Principal and other supervisors Completes orientation to the University Code of Conduct, and the University Code for the Responsible Conduct of Research as a condition of appointment Is appointed in the context of an Industry-University Partnership.

Each research student is supported by continuing supervisory arrangements by the appointment of a Principal Supervisor and at least one Associate Supervisor with relevant research expertise. In exceptional circumstances, and with the approval of the Deputy Vice-Chancellor (Research), an Adjunct HDR Supervisor may act as the Principal Supervisor providing there is an Associate Supervisor Macquarie University staff member. Where a proposed supervisor does not meet the minimum standard for the role, their appointment will require approval by the Deputy Vice-Chancellor (Research) as an ‘exceptional’ appointment.

5.4 MANDATORY ORIENTATION TO HDR SUPERVISION

All University staff who are to be appointed as a Principal Supervisor, Associate Supervisor, Research Masters Supervisor or Higher Degree Research Supervisor (End-User Partnership) must have completed mandatory orientation requirements in HDR Supervision issued by the Office of the Dean HDR. HDR Supervision currency must be updated every four years.

The completion of HDR Supervision training will appear as a record on a staff member’s public profile in a searchable Macquarie University Certified Supervisor Database (PURE or equivalent) and in their HR Online Training Record.

5.5 ORIENTATION FOR HDR CULTURAL ADVISORS, ADJUNCT HDR SUPERVISORS, AND HDR ADVISORS

HDR Cultural Advisors, Adjunct HDR Supervisors. and HDR Advisors must complete orientation within 12 weeks of appointment to the role.

5.6 CONTINUING PROFESSIONAL DEVELOPMENT AND RECOGNITION FOR HDR SUPERVISORS

HDR supervisors will be encouraged to engage in voluntary continuing professional development to help maintain currency and to reflect on and further develop their skills. The University will provide recognition of supervisory achievements.

5.7 APPOINTMENT OF AN ACTING SUPERVISOR

The Head of Department (HoD) in the relevant Faculty will determine the circumstances under which it is necessary to appoint an Acting Supervisor, on advice from the relevant Supervisor. An Acting Supervisor must be appointed for absences greater than four weeks. The period of appointment will generally be up to six months, after which time consideration should be given to replacing the absent supervisor.

It is the responsibility of the Principal Supervisor, Department, and Faculty to ensure supervision remains regular, continuous and effective during any period when the Principal Supervisor or Research Masters Supervisor undertakes OSP.

5.8 COMPLIANCE AND BREACHES

All persons involved in higher degree research are responsible for fostering research integrity according to national standards and the University’s Code for the Responsible Conduct of Research, other related University policies and procedures, and the University’s commitment to cultural safety in research that involves Indigenous peoples.

All supervisors, regardless of type of appointment, are required to comply with the Higher Degree Research Rules, Relevant Legislation, Key Related Documents and any University Policy and Procedures relating to HDR supervision and candidature.

The University may commence disciplinary procedures if a person to whom this policy applies breaches this policy (or any of its related procedures). Disciplinary procedures may involve removal from a supervisory appointment, removal from a supervisory role, suspension of certification, or termination.

6 RELEVANT LEGISLATION

Australian Code for the Responsible Conduct of Research 2007

Higher Education Standards Framework (Threshold Standards) 2015

7 KEY RELATED DOCUMENTS

Higher Degree Research Rules

Higher Degree Research Supervision Procedure (see tab above)

HDR and MRes Termination of Candidature Procedure

Higher Degree Research Degree Transfer Policy

Higher Degree Research Offsite Research (Commencing) Procedure

Higher Degree Research Offsite Research (Continuing) Procedure

Higher Degree Research Out of Time Policy / Extension Procedure

Higher Degree Research Thesis Preparation, Submission and Examination Policy / HDR Procedure / MRes Procedure / Schedules

Macquarie University Indigenous Strategy 2016-2025

Macquarie University Staff Code of Conduct

Research Data Materials Handling Toolkit

Review of Higher Education Access and Outcomes for Aboriginal and Torres Strait Islander People Final Report (2012) 13.1 Good practice supervision of Aboriginal and Torres Strait Islander higher degree by research students.

The Macquarie University definition of ‘Research Active’

Macquarie University Code for the Responsible Conduct of Research

8 NOTES

8.1	Contact Officer	Pro Vice-Chancellor (Higher Degree Research Training and Partnerships)
8.2	Implementation Officer	Pro Vice-Chancellor (Higher Degree Research Training and Partnerships)
8.3	Approval Authority / Authorities	Academic Senate
8.4	Date Approved	29 May 2018
8.5	Date of Commencement	29 May 2018
8.6	Date for Review	May 2021
8.7	Documents Superseded by this Policy	Higher Degree Research Supervision Policy approved 14 February 2013
8.8	Amendment History	29 April 2019 - minor amendment: Contact Officer / Implementation Officer updated to Pro Vice-Chancellor (Higher Degree Research Training and Partnerships) 9 April 2019 – Academic Senate (Resolution #19/25) approved amendments concerning: i) the inclusion of an additional category of supervisor, the Associate Supervisor (Research Masters) and amendments to the relevant accountabilities to recognise co-supervision by MQ staff of Master of Research candidates; and ii) amendments to the accountabilities to represent the disestablishment of the Dean (Higher Degree Research) and the Executive Director (Research Training and International Research Training Partnerships) roles.

PROCEDURE

1 PURPOSE

To specify the roles and responsibilities associated with the supervision of higher degree research (HDR) candidates.

2 SCOPE

This procedure applies to all individuals engaged in the provision and support of HDR supervision, including University staff, individuals appointed to adjunct or advisory positions and HDR candidates.

3 DEFINITIONS

Commonly defined terms are in the University Glossary.

4 RESPONSIBILITIES AND REQUIRED ACTIONS

4.1 HDR Supervision Procedure Flowchart

Print version of HDR Supervision Procedure Flowchart (PDF)

HDR Supervision Procedure Flowchart

Please click on items of the flowchart to see more information.

If you have difficulty accessing this document please contact the Policy Unit policy@mq.edu.au or 9850 4791.

4.2 Accountabilities

Note that obligations for HDR candidates are outlined in the HDR Handbook and Guide for Candidates and Supervisors.

SUPERVISION	ACCOUNTABILITIES
PRINCIPAL SUPERVISOR (DOCTORAL/M PHIL)	Meet the minimum standards of appointment Collaborate with the candidate to provide research training, timely feedback, and candidature management in line with University expectations of commencement, confirmation, progression, examination, and completion Meet the candidate at least fortnightly (face-to-face or using digital tools) in addition to any laboratory or bench consultations, unless otherwise agreed by the parties. Consider meeting more frequently in the first year of research. Ensure the candidate’s research data and materials are managed in line with the Research Data Materials Handling Toolkit Support the candidate to access and develop real-world research opportunities as part of their candidature Support the candidate to develop digital literacies as part of their research training for real-world engagement Seek the appointment of an HDR Advisor and/or an HDR Cultural Advisor and/or an HDR Supervisor (End-User Partnership), and/or an Adjunct HDR Supervisor where appropriate, in support of the candidate’s research training The Principal Supervisor, Department and Faculty must ensure that supervision remains egular, continuous, and effective during any period when the Principal Supervisor undertakes OSP.
ASSOCIATE SUPERVISOR (DOCTORAL/M PHIL)	Meet the minimum standards of appointment Collaborate with the Principal Supervisor and candidate to provide research training, timely feedback, and candidature management in line with University expectations of commencement, confirmation, progression, examination, and completion.
RESEARCH MASTERS SUPERVISOR	Meet the minimum standards of appointment Collaborate with the candidate to provide research training, timely feedback, and candidature management in line with University expectations of commencement, confirmation, progression, examination, and completion Meet the candidate at least fortnightly (face-to-face or using digital tools) in addition to any laboratory or bench consultations, unless otherwise agreed by the parties Ensure the candidate’s research data and materials are managed in line with the Research Data Materials Handling Toolkit Seek the appointment of an HDR Advisor and/or an HDR Cultural Advisor and/or an HDR Supervisor (End-User Partnership), and/or an Adjunct HDR Supervisor where appropriate, in support of the candidate’s research training Support the candidate to access and develop real-world research opportunities as part of their candidature Support the candidate to develop digital literacies as part of their research training for real-world engagement.
ASSOCIATE SUPERVISOR (RESEARCH MASTERS)	Meet the minimum standards of appointment Collaborate with the candidate to provide research training, timely feedback, and candidature management in line with University expectations of commencement, confirmation, progression, examination, and completion
HIGHER DEGREE RESEARCH CULTURAL ADVISOR	Meet the minimum standards of appointment Provide support and advice concerning cultural safety, ethical conduct, respect and protocols for the support of Indigenous candidates, and research that involves Indigenous peoples or is on Indigenous lands.
ADJUNCT HIGHER DEGREE RESEARCH SUPERVISOR	Meet the minimum standards of appointment Collaborate with the Principal Supervisor and Supervisory Team to supervise a Doctoral/M Phil candidate.
HIGHER DEGREE RESEARCH ADVISOR	Provide access to real-world research training.
HIGHER DEGREE RESEARCH SUPERVISOR (END-USER PARTNERSHIP)	Meet the minimum standards of appointment Provide access to real-world research training Share supervision responsibilities with other supervisors Ensure the candidate’s research data and materials are managed in line with the Research Data Materials Handling Toolkit
HIGHER DEGREE RESEARCH SUPERVISORY TEAM	Meet the minimum standards of appointment Collaborate with the Principal Supervisor (Doctoral/M Phil) and HDR candidate to provide research training, timely feedback, and candidature management in line with University expectations of commencement, confirmation, progression, examination, and completion Support the candidate to access and develop real-world research application as part of their candidature.
HIGHER DEGREE RESEARCH CANDIDATE	Produce a thesis (or equivalent) which fulfils the degree requirements and is presented in a form consistent with the accepted practices of the University including the HDR Thesis Preparation, Submission and Examination Policy.

GOVERNANCE	ACCOUNTABILITIES
ASSOCIATE DEAN HIGHER DEGREE RESEARCH	Ensure the quality of the HDR candidate experience, including supervision Ensure that the Orientation requirements for HDR Cultural Advisors, Adjunct HDR Supervisors, HDR Advisors, and HDR Supervisors (End-User Partnership) are met, and a record of compliance maintained.
PRO VICE-CHANCELLOR HIGHER DEGREE RESEARCH TRAINING AND PARTNERSHIPS	Provide orientation and training programs for HDR Supervisors Provide orientation for HDR Cultural Advisors, Adjunct HDR Supervisors, HDR Advisors, and HDR Supervisors (End-User Partnership) Provide a Fellowship Program for HDR Supervisors Collaborate with Associate Deans HDR to ensure the quality of the HDR candidate experience, including supervision. Provide management and administrative support for the HDR candidate cycle, noting that ‘Candidates are admitted to research training only where the training can be provided in a supervisory and study environment of research activity or other creative endeavour, inquiry and scholarship, and the supervision and resources required for their project are available’ (Higher Education Standards Framework, Threshold Standards 2015, 4.2) Provide and maintain a searchable database containing data that enables a Faculty Executive Dean to appoint Macquarie University staff members as HDR supervisors in accordance with the minimum standards specified in the HDR Supervision Policy.
DEPUTY VICE-CHANCELLOR (RESEARCH)	Make a determination on ‘exceptional’ appointments where a proposed supervisor does not meet the minimum standards for the role.
DIRECTOR OF MASTER OF RESEARCH	Collaborate with HoDs, supervisors and candidates regarding appointments and changes to Master of Research Supervisors Manage conflicts that cannot be resolved between a supervisor and a candidate.
EXECUTIVE DEAN	Ensure that high quality supervision and appropriate resources are provided for all HDR candidates throughout their candidature Ensure that Faculty and Departmental workload formulas appropriately acknowledge HDR supervision as a core workload component Implement annual Faculty-specific HDR candidate completion KPIs and associated action plans Implement performance development and review processes that give managers better oversight of how staff are performing in relation to HDR supervision.
HEAD OF DEPARTMENT (HoD)	As the Authorised Agent of the Executive Dean, appoint HDR Supervisors in line with the minimum standards specified in the HDR Supervision Policy and in accordance with the University’s Staff Code of Conduct ‘Conflict of Interest’ requirements. Ensure that potential supervisors who are in a close personal relationship are not appointed in the same Supervisory Team. Facilitate the quick resolution of conflicts that cannot be resolved between a supervisor and candidate and where this is not possible, refer the matter to the Executive Director HDRO Establish a system to manage conflicts of interest so that they are declared and do not compromise ethical or scholarly considerations Ensure that a Principal Supervisor is replaced with a person who meets the criteria for appointment as an Acting Principal Supervisor in accordance with the HDR Supervision Policy The Principal Supervisor, Department, and Faculty must ensure that supervision remains regular, continuous, and effective during any period when the Principal Supervisor undertakes OSP. Ensure that a Doctoral/M Phil candidate is supervised by a Principal Supervisor and at least one other supervisor.
WALANGA MURU	Provide orientation for Higher Degree Research Cultural Advisors in partnership with the Dean HDR Support the appointment of HDR Cultural Advisors within Faculty

MANDATORY TRAINING PROCEDURE

All HDR Supervisors who are University employees must be able to demonstrate as part of their appointment to any HDR supervision role that they have current HDR Supervision orientation training on their HR Online Training History.

HDR Supervision orientation training must be updated every four years to ensure that HDR Supervisors have an opportunity to engage with emerging policy, procedures, and reflective practice. The updated training must appear on a staff members’ HR Online Training History.

THE APPOINTMENT OF HDR SUPERVISORS (END-USER PARTNERSHIP)

The appointment of an HDR Supervisor (End-User Partnership) should only be made where a formal Industry-University Partnership Agreement is approved and signed off by the DVC(Research). The Agreement must be for the proposed duration of the candidacy. The proposed HDR Supervisor (End-User Partnership) must be approved by the Executive Dean and the Executive Director Higher Degree Research Office.

THE APPOINTMENT OF HDR ADVISORS

HDR Advisors, HDR Cultural Advisors, and Adjunct HDR Supervisors may be appointed on the request of a Supervisor or Candidate.

The University is committed to encouraging the appointment of HDR Cultural Advisors where research involves Indigenous peoples. HDR Supervisors are encouraged to consult Walanga Muru to seek the appointment of an HDR Cultural Advisor where appropriate. Faculty are encouraged to develop procedures for the remuneration of HDR Cultural Advisors.

5 RELEVANT LEGISLATION