Graduate Research School

1. Scope
2. Purpose and principles
3. Specific roles and responsibilities
   1. The University
   2. Pro Vice-Chancellor (Research and Research Training)
   3. Board of the Graduate Research School
   4. The Faculties
   5. The Head of School
   6. Graduate research co-ordinators
   7. Advisory panel
   8. Supervisor(s)
   9. Candidates
4. Rules, regulations, policies and procedures

A. Scope

This Code is provided for:

• Students enrolled in Graduate Research degrees at the University, including Masters degrees by research, PhDs and professional doctorates;
• Students enrolled in Higher Degree by Research preliminary courses;
• Supervisors and co-supervisors of graduate students;
• Heads of School and Heads of other academic units in which graduate research can be conducted.

The University issues many formal publications and policies which provide essential information on a range of matters for graduate research students. This Code should be read in conjunction with those publications, which are listed in Section D.

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B. Purpose and principles

The main purpose of this Code is to set down, for all those involved in the graduate research experience, the University's broad expectations of those involved with graduate research training at UWA, and its perceptions of the specific roles and responsibilities of individuals, committees, University officers and students in ensuring that the research training experience of each student is as valuable as possible.

The University's principles for quality graduate research training experience as resolved by Board of the Graduate Research School R141/02 are set out in the Guidelines for Graduate Research Supervisors.

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C. Specific roles and responsibilities

1. The University

The University recognises not only that graduate research makes an important contribution to the institution's current research activities and achievements, but also that the quality of the graduate research training it offers will have a major impact on its own future research capacity and achievements and those of other leading research institutions.

It is therefore acutely aware of its responsibility for ensuring that, as far as possible, all its graduate research students are given the opportunity to develop their research potential to the best of their ability during their enrolment.

The University's broad expectations of staff, schools and committees involved with graduate research and the University's responsibility in relation to graduate research training as resolved by the Board of the Graduate Research School R141/02 are set in the Guidelines for Graduate Research Supervisors.

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2. Pro Vice-Chancellor (Research and Research Training)

The Pro Vice-Chancellor (Research and Research Training) is responsible to the Deputy Vice-Chancellor (Research and Innovation) for the performance of a range of responsibilities related to the assurance of effective Graduate Research training at this University.

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3. Board of the Graduate Research School

The Board of the Graduate Research School is a committee of the Academic Board/Council. Its constitution sets out its roles and responsibilities.

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4. The Faculties

The faculties are responsible for the standards of the research degrees administered by them. Rules pertaining to research degrees administered by the faculties are set out in the Postgraduate Handbook.

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5. The Head of School

• Throughout this Code, Head of School means either the person appointed or acting in that capacity or the Graduate Research Coordinator of the School.
• Graduate Research Coordinators are designated academics who have been approved by the Head of School and the Board of the Graduate Research School to act on behalf of the Head of School on matters pertaining to research higher degrees.

It is the responsibility of the school, within the context of the University’s Statutes, regulations, University General Rules for Academic Courses, faculty rules, and other University policies, procedures and guidelines, as appropriate, to ensure the following conditions and requirements are met.

5.1 Regulatory Obligations and Quality Assurance

Heads of School must become familiar with University rules, regulations, policies, and procedures as listed in Section D:

(a) Each applicant recommended to the Graduate Research School for admission must meet the formal requirements for admission, as specified in the relevant rules (refer to Applying for a PhD: Eligibility or Applying for a Masters: Eligibility including the University's minimum requirement for English language proficiency).

(b) The proposed research project must be appropriate for the degree and must be able to be completed within the maximum time limit for the degree.

(c) The school must be an appropriate academic location for the proposed research, and appropriate resources (including fieldwork funds) and physical facilities must be able to be provided and maintained through the research period (refer to Guidelines on Minimum Allocation of Resources for Research Students).

(d) All statements made by a student and/or supervisors through the regular reporting procedures established by the University must be validated by the signature of the Head of School. Any issues raised for the attention of the Head of School should be followed up with the student, supervisors or the Pro Vice-Chancellor (Research and Research Training).

(e) Supervisors must be made aware of the requirement to keep the Graduate Research School and Scholarships Office informed, via the Head of School, variations to candidature or any changes to circumstances which might impact on a supervisor's ability to supervise via the Head of School.

(f) Supervisors should be made aware of appropriate avenues for referring students who need assistance in communicating orally or in writing in English using the vocabulary and conventions of the discipline (refer to Study Smarter: Learning, Language, and Research Skills).

(g) Supervisors must be made aware of their responsibilities toward research students (outlined in Clause 8 of this section) and assisted to ensure they fulfil all academic and administrative requirements promptly and satisfactorily.

5.2 Ethics, Safety and Intellectual Property

(a) Each supervisor of a research student must be made aware of the content and implications of the University's Intellectual Property Regulations.

(b) Each student must be provided with written guidelines concerning ethical and safety procedures appropriate to the discipline.

5.3 Graduate Research Community

(a) Appropriate opportunities should be provided, by way of seminars and the like, for students to develop their skills at presenting their work, and to be integrated into a cohesive group. Supervisors and students should be encouraged to attend.

(b) Students and supervisors should be encouraged to participate in other appropriate training activities, such as workshops on safety and health procedures, offered within the University.

(c) Appropriate opportunities must be provided for students to participate in the intellectual activity of the School and to interact with and develop profitable intellectual relationships with one another.

(d) Each student must be provided with information about the school, including resource allocation, its staff and other students' projects, normally in the form of a school induction. Students and supervisors should also be encouraged to attend University and/or Guild induction activities.

(e) The School should, where possible, facilitate contact between the student and other researchers in related areas, including external agency, industry, or other institutional links.

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5.4 Supervision and Student-Supervisor Relationship

(a) Supervision must be arranged, provided and maintained in accordance with the relevant University rules (refer to University General Rules for Academic Courses 1.2.4 and 1.3) and the Board of the Graduate Research School Guidelines for Graduate Research Supervisors.

(b) Each staff member should be encouraged to use a Student-Supervisor Checklist.

5.5 Specific responsibilities in relation to thesis preparation, submission and examination

(a) At the time of submission, the Head of School must certify that the thesis is properly presented, conforms to the relevant University rules and is, therefore, prima facie, worthy of examination (refer to University General Rules for Academic Courses 1.2.4 and 1.3 in the Postgraduate Handbook).

(b) Examiners must be nominated and recommended to the Board of the Graduate Research School or faculty, as appropriate in a timely fashion, and normally three weeks prior to submission of a thesis for examination.

(c) Supervisors must be made aware of the Board’s Statement of Expectations on Supervision and Thesis Writing.

5.6 Grievances and Appeals

(a) An appropriate School procedure to deal with situations which might be perceived as involving conflicts of interest e.g. where the Head of the School is a student’s supervisor, must exist and students must be made aware of this procedure.

(b) All new students must be provided with a School statement which encourages them to familiarise themselves with the Guide to the Postgraduate Research Students Conciliation Process and to pursue, at an early stage, initially in the informal manner set out in that Guide, any concerns they have regarding matters outside their control which may be impeding the satisfactory progress of their work.

(c) An appropriate School procedure to deal with unresolved conflicts between supervisor(s) and students, in line with the Guide to the Graduate Research Students Conciliation Process, must exist and Students must be made aware of this procedure.

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6. Graduate research co-ordinators

Where there is no Graduate Research Coordinator in a School, the responsibilities below fall to the Head of School.

Graduate Research Coordinators have the responsibility for:

• assisting recruitment and facilitating orientation of students into the school;
• providing ongoing information to students and supervisors about the resources and sources of assistance available, both within the school and elsewhere in the University;
• referring students and supervisors to specific sources of assistance where necessary;
• providing confidential counsel to students and supervisors where necessary, and following up matters of concern;
• coordinating activities, for example seminar series, within the school to assist students to develop skills and form collegial networks;
• liaising with the Graduate Research School in relation to the management of candidature; and
• when so requested, consulting with supervisors as appropriate and advising the Board on matters related to thesis examination.

6.1 Regulatory Obligations and Quality Assurance

(a) Graduate Research Coordinators must become familiar with University rules, regulations, policies, and procedures as listed in Section D.

(b) Each new research student should be welcomed/inducted by the school/discipline at the beginning of candidature, to ensure that they are aware of the role and responsibility of the Graduate Research Coordinator.

(c) Graduate Research Coordinators should provide a point of contact for prospective research higher degree students wishing to discuss proposed areas of research and other matters with an academic adviser.

Coordinators may also function as a point of contact with the Graduate Research School and Scholarships Office and/or faculty offices to assist with the administration of candidature.

(d) Each research student should be interviewed as part of the annual review of progress and a report prepared for the Graduate Research School, or faculty for students enrolled in degrees administered by faculties. The report should include notes of all referrals to support services and whether they have been followed up.

6.2 Ethics, Safety and Intellectual Property

(a) Graduate Research Coordinators should assist with dissemination of information concerning ethical and safety procedures appropriate to the discipline, and Intellectual Property Regulations.

6.3 Graduate Research Community

(a) Wider contacts within the University or outside should be facilitated as appropriate and possible.

(b) Programs of workshops, seminars and other activities to encourage and assist students to develop or improve their skills should be coordinated.

(c) Information for students and supervisors about workshops and other opportunities for development offered elsewhere in the University should be disseminated.

6.4 Supervision and Student-Supervisor Relationship

(a) The Graduate Research Coordinator may provide additional expertise on the research topic or related subjects, such as general queries on appropriate referencing for the discipline.

(b) Advice on research proposals and the University's formal reporting requirements, such as Annual Progress Reports, may be provided, either individually or to student as a group.

(c) Supervisors and research students should be provided with information about sources of assistance and ongoing referrals to other staff, eg. in Student Services, CSD and CELT.

(d) Advice and counsel may be provided to supervisors, including strategies for assisting students to improve their skills.

6.5 Specific responsibilities in relation to thesis examination

(a) The Board of the Graduate Research School may request a Graduate Research Coordinator to provide clarification or advice to assist it with the classification of a thesis. In this case, and other than in exceptional circumstances which will be reported to the Graduate Research School, the Graduate Research Coordinator will consult with the supervisor/s in preparation of this report.

6.6 Grievances and Appeals

(a) At the request of the student, Graduate Research Coordinators may be required to advise on any matter relating to the student's course, including advice on any difficulties in the relationship between the student and the supervisors or Head of School.

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7. Advisory panel

A school may choose to appoint one or more Advisory Panels to augment and assist the supervisory process, and/or to support the role of the Graduate Research Coordinator. The structure and membership of Advisory Panels, and their Terms of Reference, may vary from school to school.

For example, a school may appoint a single Advisory Panel to oversee all research students within the School, or all students at a particular stage. Other schools may appoint Advisory Panels on the basis of discipline or research area.

Advisory Panels may assist the supervisors and Graduate Research Coordinator in monitoring progress and advising and supporting students, and in recommending what generic skills development activities students should undertake each year. They may also provide continuity of supervision in the case of extended absence of a supervisor or breakdown of the supervisory relationship. It may also be their role to advise the supervisors and Graduate Research Coordinator.

When an Advisory Panel is appointed, its constitution and Terms of Reference must be clearly set out in writing and provided to all students under its care and their supervisors, as well as to the Pro Vice-Chancellor (Research and Research Training).

All members of Advisory Panels must be familiar with University rules, regulations, policies and procedures as listed in Section D.

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8. Supervisor(s)

Supervisors have the responsibility for providing academic guidance to students and fostering an environment in which research is seen as a creative and exciting activity.

8.1 Regulatory Obligations and Quality Assurance

(a) Supervisors must become familiar with University rules, regulations, policies, and procedures as listed in Section D.

(b) When assessing applications from prospective students, a prospective supervisor must inform the Head of School of the likely total cost of the programme, the student's annual maintenance needs, fieldwork requirements and for access to special equipment if these are likely to exceed the normal range of graduate research costs in the area.

(c) When assessing applications from prospective students, a prospective supervisor must inform the Head of School about the feasibility of completing proposed projects within the maximum period of candidature (refer to Rules 1.3.2.2 and 1.3.3.2 in the University General Rules for Academic Courses and relevant faculty rules in the Postgraduate Handbook).

(d) When recommending acceptance of applications from prospective students, supervisors must ensure that they meet the formal requirements for admission, as specified in the relevant rules (refer to Applying for a PhD: Eligibility or Applying for a Masters: Eligibility including the University’s minimum requirement for English language proficiency).

(e) Regular reporting procedures established by the University must be used as the minimum means by which any difficulties and problems discussed with the student during the year are noted, and action taken or advice given indicated (also refer to Research Proposals).

(f) The performance of the student relative to the standard required for the degree must be monitored carefully. Inadequate progress or work below the standard generally expected must be brought to the student’s attention and to the attention of the Head of School, the Board of the Graduate Research School or faculty (as appropriate), if necessary.

(g) Any students who need assistance in communicating orally or in writing in English using the vocabulary and conventions of the discipline must be identified, advised in writing of the need for this assistance and directed to the appropriate area for assistance (assistance is available from Student Services).

(h) Any significant change in the supervisor's commitment likely to affect the ability to supervise (for example, changes in teaching load or family responsibilities) must be communicated to the Head of School (if they are not already aware of this) and to the Board of the Graduate Research School or faculty, as appropriate. Appropriate alternative or co-supervisor arrangements must be made if required.

(i) Supervisors must discuss with students any significant change in the student's commitments likely to affect the progress of the research course, and if required ensure that this is communicated to the Head of School and Board of the Graduate Research School or faculty (as appropriate) in the form of an application for variation of candidature.

(j) In conjunction with the Head of School, supervisors must ensure they fulfil all academic and administrative requirements promptly and satisfactorily.

8.2 Ethics, Safety and Intellectual Property

(a) Students must be made aware of the content and implications of the University's Intellectual Property Policy and directed to the appropriate staff/publications for further information if required. If the research is funded by a contractual arrangement any particular contract terms or conditions which could either restrict disclosure or affect the extent to which communication with colleagues is possible during the research and on its completion should be discussed with the student and the UWA Legal Services Office.

(b) Students must be advised on health and safety working practices relevant to the field of research, including occupational strains hazards, the ethical practices appropriate to the discipline (including human research and/or animal experimentation ethics requirements) and requirements regarding the retention of primary data.

(c) Supervisors must discuss with the student at the commencement or during the course of candidature any publication likely to arise during or on the basis of the research project, to ensure appropriate and adequate recognition of the student's and supervisors' contributions to the publication (refer Guidelines on Research Ethics and Research Conduct). Any agreement should be recorded in the Student - Supervisor Checklist if one is used.

(d) Supervisors must discuss with students issues of ownership of data and the consequences for early, unexpected or acrimonious end to the supervisory relationship with regard to the use of data. Any agreement should be recorded in the Student - Supervisor Checklist if one is used.

8.3 Graduate Research Community

(a) At the commencement of candidature supervisors are required to work with the student to clarify expectations, including the extent to which the student may be expected to contribute to group research.

(b) After completion of the thesis supervisors should make every endeavour to support the career aspirations of the student through, for example, provision of references, assistance with publications, facilitation of post-doctoral opportunities.

(c) Supervisors should, where possible, facilitate contact between the Student and other researchers in related areas, including external agency, industry, or other institutional links.

(d) Supervisors should make every effort to attend seminars at which their students are presenting work, and to provide feedback, advice, encouragement and assistance with regard to these presentations.

(e) Students should be encouraged to participate in training activities, such as workshops on safety and health procedures, and generic skills development workshops and courses, offered within the University.

(f) Students should be encouraged to participate in the intellectual activity of the School or area through activities such as attendance and presentations at School seminars and conferences.

(g) Supervisors should, where possible, attend University and/or Guild induction activities and encourage their students to attend.

8.4 Supervision and Student-Supervisor Relationship

(a) Supervisors should make every effort to build and maintain a supervisory relationship in line with the principles outlined in the Guidelines for Graduate Research Supervisors.

(b) Supervisors must make every endeavour to adhere to agreements as set out in the Student - Supervisor Checklist (if one is used) or as otherwise negotiated and agreed at the commencement of candidature.

8.5 Specific responsibilities in relation to thesis preparation, submission and examination

(a) At the time of submission, supervisors must certify that the thesis is properly presented, conforms to the Rules and is, therefore, prima facie, worthy of examination (refer to University General Rules for Academic Courses 1.2.4 and 1.3 in the Postgraduate Handbook).

(b) The Board of the Graduate Research School or faculty, as appropriate, through the head of school, must be advised of the names and credentials of suitable examiners in a timely manner and appropriate supporting material provided.

(c) Supervision of thesis preparation is to take place in accordance with the Statement of Expectations on Supervision and Thesis Writing.

(d) During classification of the thesis supervisors will assist the Graduate Research Coordinator to provide additional information to the Board of the Graduate Research School if so requested.

8.6 Grievances and Appeals

(a) Supervisors must be aware of the Guide to the Postgraduate Research Students Conciliation Process and should, at an early stage in the candidature, discuss with students the importance of informally addressing any issues as they arise.

(b) If issues arise which cannot be resolved by informal discussion supervisors must make every effort to follow school procedures to deal with unresolved conflicts or issues with their Students, in line with the Guide to the Postgraduate Research Students Conciliation Process.

(c) If a formal Application for Grievance Conciliation is lodged, supervisors are expected to co-operate fully with the Chair and the members of the Grievance Conciliation Panel to resolve the Grievance.

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9. Students

9.1 Regulatory Obligations and Quality Assurance

(a) Students are expected to become familiar with the rules governing the degree course in which they are enrolled.

(b) It is expected that students will be aware of, and read where appropriate, University regulations, rules, policies and procedures and as listed in Section D.

(c) Students must present to the supervisors a research proposal and an annual progress report at periods specified by the Board and/or faculty and in accordance with the relevant rules and guidelines.

(d) Students are expected to devote at least 30 hours per week (or equivalent if the candidature is part-time) to research higher degree studies.

(e) Students are expected to advise the supervisors of any significant change in their commitments likely to affect the progress of the research course, and if required ensure that this is communicated to the Head of School and/or Board of the Graduate Research School in the form of an application for variation of candidature.

(f) Students who have been advised by a supervisor that they need assistance in communicating orally or in writing in English using the vocabulary and conventions of the discipline must seek assistance as directed or otherwise discuss the recommendation for assistance with the supervisor and Head of School.

(g) In conjunction with supervisors, students must make every effort to ensure that they fulfil all academic and administrative requirements promptly and satisfactorily.

9.2 Ethics, Safety and Intellectual Property

(a) Students must acquire 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, including Human Research and/or Animal Experimentation Ethics requirements, at all times.

(b) Students must discuss with the supervisors, at the commencement or during the course of candidature, any publication likely to arise during or on the basis of the research project, to ensure appropriate and adequate recognition of the student’s and supervisors' contributions to the publication. Any agreement should be recorded in the Student - Supervisor Checklist if one is used.

(c) Students and supervisors must discuss issues of ownership of data and the consequences for early, unexpected or acrimonious end of the supervisory relationship with regard to the use of these data. Any agreement should be recorded in the Student - Supervisor Checklist if one is used.

9.3 Graduate Research Community

(a) Students are expected to participate in the intellectual life of the School/area through activities such as attendance and presentations at School seminars and conferences.

(b) Students are encouraged to participate in training activities, such as workshops on safety and health procedures, and generic skills development workshops and courses offered within the University

(c) Students should, where possible, attend University and/or Guild induction activities.

9.4 Supervision and Student-Supervisor Relationship

(a) Students should make every effort to build and maintain a supervisory relationship in line with the principles outlined in the Guidelines for Graduate Research Supervisors.

(b) Students must make every endeavour to adhere to agreements as set out in the Student - Supervisor Checklist (if one is used) or as otherwise negotiated and agreed at the commencement of candidature.

9.5 Specific responsibilities in relation to thesis preparation, submission and examination

(a) Students are required to accept responsibility for producing the final copies of the thesis, for the content of the thesis, and for ensuring that it is in accord with the relevant requirements, including the standard of presentation (refer to University General Rules for Academic Courses 1.2.4 and 1.3 in the Postgraduate Handbook).

(b) In cases where a thesis is classified 'Resubmit' or is passed subject to correction, students are required to complete the necessary revisions / corrections within the time limit specified and provide any statement addressing the corrections requested by the Board of the Graduate Research School or faculty concerned.

9.6 Grievances and Appeals

(a) Students must be aware of the Guide to the Postgraduate Research Students Conciliation Process and should informally raise any issues as they arise.

(b) If issues arise which cannot be resolved by informal discussion, students must make every effort to follow School procedures to deal with unresolved conflicts or issues with their supervisors, in line with the Guide to the Postgraduate Research Students Conciliation Process.

If a formal Application for Grievance Conciliation is lodged, students are expected to co-operate fully with the Chair and the members of the Grievance Conciliation Panel to resolve the Grievance.

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D. Rules, regulations, policies and procedures

(a) Heads of School, Graduate Research Coordinators, supervisors and students are expected to be familiar with the following:

• The relevant sections of the Postgraduate Handbook
• Regulations governing the Postgraduate Research Students Grievance Conciliation Process and the accompanying Guide to the Postgraduate Research Students Conciliation Process
• Guidelines on Research Ethics and Research Conduct
• Guidelines for Graduate Research Supervisors
• Guidelines for Minimum Allocation of Resources for Research Students
• Statement of Expectations on Supervision and Thesis Writing
• The UWA Intellectual Property Policy and regulations

(b) Other regulations, policies and procedures of which Heads of School, Graduate Research Coordinators, supervisors and students should also be aware include:

• Computer and Software Use regulations
• Policy and Procedures for Dealing with Equity Enquiries and Grievances
• Professional Relationships in the University of Western Australia: Workplace Policy (for staff)
• Sexual Harassment Policy and Procedures
• Racial Harassment Statement
• Occupational Safety and Health Policy