GRADUATE RESEARCH ENVIRONMENT GUIDELINES

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1 Abstract GRADUATE RESEARCH ENVIRONMENT GUIDELINES These guidelines describe the research environment and support services in place for Graduate Research students at UTS. Dates Approved by Implementation Officer Relevant to Related documents Guidelines approved Guidelines take effect Guidelines due for review (up to 5 years) Graduate Research School Board Meeting number/date [insert hyperlink to agenda] Resolution number Dean, Graduate Research School [10/12/2015] [01/01/2017] [10/12/2017] All staff working in a research environment at UTS and responsible for the supervision, management and development of graduate research students. All Graduate Research Students Conduct and Ethics Australian code for the Responsible Conduct of Research National Statement on Ethical Conduct in Human Research Australian code of practice for the care and use of animals for scientific purposes Responsible conduct of research policy Biosafety in Research Vice-Chancellor s Directive Ethical Conduct of Research Involving Animals Vice-Chancellor s Directive Ethical Conduct of Research Involving Human Participants Vice-Chancellor s Directive Authorship Vice Chancellor s Directive Intellectual Property Policy Research Generated Intellectual Property and Commercialisation Vice-Chancellor s Directive Research Data Management Vice-Chancellor s Directive Graduate Research policies and procedures

2 Legislation File number Superseded documents UTS Framework for Doctoral Education Code of practice for Supervisors, Advisors and Research Degree Candidates Travel, Health and Safety and Risk Management Travel Vice-Chancellor s Directive Travel Guidelines Fieldwork guidelines Research Risk Management Plan Corporate travel insurance Insurance: student work experience and site visits Health and Safety Responsibilities Vice- Chancellor s Directive Health and Safety Policy UTS student policies and procedures Policy on handling student complaints Privacy and Protection of Personal Information Vice-Chancellor s Directive UTS Student Charter Student Rules: Section 11 Graduate Research Higher Education Standards Framework (Threshold Standards) 2015 Support, Resources and Facilities for PG Research Degree Students Guidelines: Support for Research Students Working Off- Campus Contents Purpose Scope Definitions Guidelines principles Guidelines statement Roles and responsibilities Acknowledgements Version control and change history 2

3 .1 Purpose The purpose of these guidelines is to outline the support and resources that graduate research students may expect throughout their candidature at UTS. The guidelines reflect the UTS core values ensuring that the research environment will enable our graduate research students to discover and share new knowledge and new ways to lead through our teaching, research, intellectual debate and use of technology. The guidelines also provide a detailed description of the research environment at UTS for graduate research students and includes sections on research governance, researcher development programs, as well as links to relevant policies, guidelines and rules. 2. Scope This policy applies to currently enrolled graduate research students, supervisors and staff working in research and research degree management at UTS. 3. Definitions The following definitions refer to terms that are specific to this policy. These are in addition to terms defined in Schedule 1, Student and Related Rules. Doctoral Study Plan (DSP) is a planning and communication tool which seeks to assist graduate research students and supervisors plan, review and monitor the goals of the individual research project. The DSP enables the development of an ongoing program specifically designed to meet the research, career and professional development goals as students progress through each stage of candidature. e-grad School Australia is a virtual graduate school providing high quality training and professional development for researchers and administrators in the public or private research sectors. It is a joint collaboration of the Australian Technology Network of Universities (Curtin, RMIT, UniSA and UTS) and is managed by Queensland University of Technology. Early career researchers mean a category of research trainee including full time or fractional staff who have completed their PhD or highest research degree within the previous five years. Researcher development programs are those run centrally through the Graduate Research School, Research Innovation Office, the Library and other central units. The programs are situated within the UTS Framework for Doctoral Education and aim to support and develop the skills needed for graduate research students as well as to their build knowledge and skills in research practice. Responsible research practices are the high standards of conduct and practice that are carried out in research at the University including honesty and integrity, respect for human participants, animals and the environment, acknowledgement of the contributions of others in research, and responsible communication of results. 3

4 Research Degrees Committees in each faculty are responsible for ensuring appropriate support for graduate research students and developing and implementing faculty level policies, procedures and quality assurance strategies. Review of progress is a regular formal review of a graduate research student s progress towards completion of the degree. At scheduled times each year, students must assess their own progress against the goals and plans agreed in the Doctoral Study Plan. Supervisors will also make an assessment of progress and submit this to the faculty which then makes an overall recommendation as to whether progress in the research degree is satisfactory or otherwise. Stage assessments are formal requirements of the research degree and are scheduled at the end of each stage of candidature. Each faculty has different requirements for stage assessments but all will involve an oral presentation and submission of some written work. Stages of candidature are the 3 formal stages in research degrees which contain progressive outcomes designed to make explicit the continued development of knowledge and research skills across the candidature. Upon successful completion of a stage assessment a graduate research student progresses to the next stage. UTS Framework for Doctoral Education is a University wide initiative that involves faculties, research centres and the Graduate Research School. The framework provides a structured doctoral program which has two main aims: to support the advancement of knowledge through original research and to develop the doctoral student as a researcher to prepare them for a career in academia, or industry. 4. Policy principles The research environment at UTS is one that fosters excellence and quality in research training as well as providing a framework to successfully support and develop graduate research students with the necessary skills and capabilities required for a successful academic or non-academic career. 5. Policy statements 5.1 Graduate research governance Graduate research governance refers to the way in which graduate research matters and policies are organised and managed at UTS University level The Graduate Research School Board (the Board) is a sub-committee of Academic Board and is responsible for the development of all governance instruments related to research degree candidature including supervision, course transfer, review of 4

5 progress, candidature assessment, scholarship conditions and thesis examination. The Dean, Graduate Research School, is chair of the Board and has responsibility for ensuring that these governance instruments support quality assurance and effective management of graduate research candidature Faculty and academic unit level Each faculty or academic unit has a research degrees committee or equivalent to ensure appropriate support for graduate research students and to develop local level governance instruments and quality assurance strategies. Each faculty or academic unit also has a Responsible Academic Officer (RAO) who is responsible for overseeing all of the Faculty s graduate research students, their welfare and support Student participation All formal university committees include student membership and some committees have designated positions for graduate research students, including the Graduate Research School Board. In addition to University wide committees, Faculty Boards and some research or research degrees committees also have a current graduate research student or recent graduate as a member. 5.2 Graduate research supervision A supervisory panel is established for each graduate research student, comprising the Principal Supervisor and other panel members as appropriate. There is a minimum of two members on each Supervisory Panel. The Principal Supervisor must hold a doctoral degree, or have equivalent research experience, be research active in the field and be listed on the official UTS supervisor register. Other members of the panel must also have relevant research experience and expertise appropriate to the research project. The Principal Supervisor is responsible for guiding the student through the stages of their research and developing the student's capacity for independent research and scholarship and plays a key role in the assessment of their student s progress towards timely completion. The Roles of the different supervisors are described in detail in the Code of Practice for Supervisors and Research Degree Students. 5.3 Researcher development and training The UTS Framework for Doctoral Education provides a macro-structure for graduate research programs and aims to provide support for graduate research students throughout their degree through advancing knowledge through original research and to further the development of the student as a researcher in the context of the International research workforce. The University provides a range of opportunities for graduate research students to support the development of knowledge, skills and capabilities required as a researcher at UTS and for a successful research career either in industry or academia. These activities, subjects and modules are provided by faculties and by central units throughout the year. 5

6 5.3.1 Advanced disciplinary knowledge and research forums The faculties and research strengths/centres provide advanced disciplinary and interdisciplinary subjects, seminars and events, and research forums, including those led by distinguished visiting scholars. Some faculties host student conferences which graduate research students are invited to coordinate, attend and present papers. Graduate research students are encouraged to attend the range of activities provided by faculties and research strengths/centres to fully engage with the intellectual community of the University Research student development program The Graduate Research School runs a series of graduate research student development workshops, activities and programs through the year. These include a general development program aligned with the 3 stages of candidature, researcher literacies program, an induction program for international students, statistics workshops, qualitative analysis software and career development and more. Information about the range of workshops and registration process is available on the UTS website. Graduate research students are notified regularly through their UTS accounts to register for the events e-grad School Australia The e-grad School Australia is an online resource that UTS graduate research students can access at no cost. The school offers a range of flexible online courses and resources for graduate research students, supervisors, early career researchers, and research managers designed to develop research and employability skills and provide ongoing professional development. Students can access the e-grad School via the UTS website Researcher skills and development In addition to the faculty and GRS run workshops and activities, there are a number of other central units at UTS which provide researcher development and training. These include the Library, Research and Innovation Office, Human Resources Unit, Safety and Wellbeing, Equity and Diversity Unit, the Institute for Interactive Media and Learning and others. Information about these activities is available from the UTS website. 5.4 Engagement in the research community Induction and orientation There are a number of central and faculty run activities for graduate research students aimed at induction and orientation to UTS and the UTS research community. The GRS runs the Kickstart program each year for newly commencing international students and also provides induction and orientation workshops for all new graduate 6

7 research students in collaboration with faculties. Graduate research students are expected to participate in the activities offered to induct and orient them into the research community and more broadly, into the University Researcher networking and support program The University provides a number of varied activities and programs focussed on the support and engagement of graduate research students. The program provides graduate research students with an opportunity to network and seek connections with research peers across the broader research community. 5.5 Candidature management and progress Faculties The faculty or academic unit is responsible for the planning and reviewing phases of graduate research student candidature the Doctoral Study Plan and Review of Progress and Stage Assessments. The faculty provides a range of services to support graduate research students including researcher development programs, student engagement activities, and development of local procedures to manage research degree candidature. In addition to the academic support available, each faculty or academic unit has research staff to ensure appropriate administrative support for graduate research students at the faculty level. These staff can provide assistance and advice on general aspects of student candidature. Faculties also have procedures for dealing with candidature difficulties, such as grievances and complaints under the Policy on Handling Student Complaints Graduate Research School The GRS is responsible for managing the system which monitors and reviews progress, including the Doctoral Study Plan, Review of Progress and Stage Assessments. GRS also provides a range of services to support graduate research students throughout candidature including researcher development programs, mentoring and support programs, policy development, scholarships and centralised management of graduate research candidature. The staff in the school can provide advice and guidance on these graduate research matters. 5.6 Research Integrity The University adheres to the Australian Code for the Responsible Conduct of Research and administers a number of policies and Vice-Chancellor s directives related to the responsible and ethical conduct of research. Responsible research practices are viewed as central to the training of research candidates and formal and informal training activities are provided by the faculties and central units throughout the research degree candidature. 7

8 5.7 Resources and facilities There are a range of resources for graduate research students provided by the University and by individual faculties and academic units Space Each faculty has study spaces available for graduate research students. These can include shared offices, hot-desks, and common work areas. Allocation of study or lab space in situations where demand exceeds supply is done according to agreed faculty procedures and there are also flexible and collaborative spaces available for graduate research students in faculties Digital and IT resources All UTS students have an account. The UTS Wireless network is available across most teaching and learning spaces and open spaces on campus. There are computing facilities available for all students with some computer labs open 24 hours, 7 days per week. The University also holds site licenses for a range of software packages including reference software and qualitative and quantitative analysis software. Some faculties have general computer labs as well as specialist labs available to graduate research students. Some provide laptops and software for short and longterm loan. Specialist software may be available in the student's faculty where this is essential for carrying out the research. In addition, some faculties have data storage resources for graduate research students Scholarships and funding schemes There are a range of different scholarship opportunities for graduate research students at UTS. Competitive scholarships are offered on an annual basis to domestic and international students for both living allowances and tuition fees. The Vice- Chancellor s Conference Fund is a competitive centrally provided fund with three application rounds per year. Some faculties may also have funding available for graduate research students including for conferences, research support, field work expenses. Such funding is usually determined on an annual basis and graduate research students should contact the faculty research office for more information. Information on scholarships and funding and the relevant application processes will be available on the UTS website Library and Information services 8

9 The UTS Library provides services and collections to support students at all stages of their studies and research. Teams of Information Services Librarians provide individual research consultations and assistance in using the Library. Workshops and training sessions are run throughout the year on finding information, managing data, referencing, connecting and collaborating with colleagues, getting published and maximising research impact. Online tutorials and the Research section of the UTS Library website provide additional specialised support. Librarians also provide information and assistance via , chat and social media channels. Graduate research students are encouraged to use the Scholars Centre, a quiet study space with computers on the entrance level of the City Campus Library. Laptop connection to the UTS wireless network is also widely available. The Library has an extensive collection of journals, books and other resources, both online and in print, and provides free access to a wide range of research databases and other tools such as referencing software. The collection is supplemented by access to partner University collections through the BONUS+ service, subsidised reciprocal borrowing arrangements with most Australian university libraries and the inter-library loan service which sources material locally and internationally at no cost to graduate research students. 5.8 Communication and information All students are allocated an address upon enrolment at UTS. This address is the only that official communications from UTS will be sent to (see Student Rule 2.3.2). All students are obliged to regularly check their UTS for information and official communications from the University, including the faculty and the GRS. Students also need to maintain their inbox so that communications can be received on a regular basis. Information about candidature management and researcher development workshops and activities is available from the UTS website. Faculties may also have online spaces for students to gain access to information, including websites, intranets and wikis. 5.9 Support for graduate research students off campus At UTS, there is no distance mode offering for research degrees however it is understood that many students will be based off campus at some point in the degree. Arrangements for adequate supervision and support of the student and the project have to be agreed and approved before the off campus period begins. Faculties are required to consider the following when making an assessment about adequate support for a student largely based off campus: Engagement in a research environment. Supervisory arrangements. 9

10 Access to facilities or specialised equipment (where applicable). Language environment. Capacity of the student for autonomous independent study Travel and fieldwork Graduate research students are encouraged to travel as part of their research degree to gain international experience, to present research outcomes at conferences, and to grow their academic networks. Students may also need to travel for fieldwork and data collection. The University has a number of policies and management plans to cover travel, fieldwork and risk management Travel procedures Graduate research students planning to travel for part of their degree must refer to both the Travel Vice Chancellor s Directive and the Travel Guidelines before travelling. For both domestic and international travel, students need to complete a Travel Approval Form regardless of whether the travel is UTS funded or self-funded. This ensures that the travel is covered by the University s insurance policy as well as the funding approval for the travel expenses Fieldwork procedures In addition to the required travel procedure, students must also follow the UTS Fieldwork Guidelines before an approved period of fieldwork commences. There are several forms to complete before going on fieldwork, to ensure that the student is covered by UTS insurance, and that any potential risks have been identified and a subsequent plan arranged to mitigate risks. 6. Roles and responsibilities Accountable Officer: Dean, Graduate Research School and Chair of the Graduate Research School Board Implementation Officer: Director, Graduate Research School (on behalf of the Dean, Graduate Research School) is the primary point of contact for advice on implementing and administrating the guidelines; for establishing and maintaining the official file; for proposing amendments as required; and for managing the consultation process when the guidelines are due for review. Other positions and committees: Director, Researcher Development, Graduate Research School is responsible for the design and delivery of the centrally provided researcher development program at UTS for research students, research student supervisors, and researchers. The Graduate Research School Board is responsible for dealing with matters related to the administration and management of research degrees including policies, guidelines and 10

11 procedures related to research degree candidature including supervision, course transfer, and review of progress, candidature assessment and thesis examination. 7. Acknowledgements Australian code for the Responsible Conduct of Research Higher Education Standards Framework (Threshold Standards) 2015 Australian Government Tertiary Education Quality and Standards Agency 8. Version control and change history Date Version Approved by and resolution no. 10/12/15 1 GRSB/15-5/25 Amendment 11