Appendix 1: HDR Roles and Responsibilities

Appendix 1: HDR Roles and Responsibilities Milestone Principal Supervisor Co- Enquiry Admission Utilise ask functionality to access information from the website or submit enquiry to information@usc.edu.au or telephone the relevant for support. Submit complete application form and supporting documentation to information@usc.edu.au. Refer prospective applicants to Central (ask or information@usc.edu.au). Assessment of applicant s research preparedness to succeed in an HDR. Consider existing overall workload and capacity to take on a new student. Thoroughly consider each applicant and their proposed research. Formulate a complete supervision panel in HDR Supervision as appropriate to meet the individual research project in the context of the applicant s research preparedness. Consider research activity in the applicant s proposed area of research. formulation of complete supervision panel to support the proposed research project in the context of the applicant s research preparedness. Consideration of existing overall workload and capacity to take on a new student. prospective applicants utilising the university CRM software. Coordinate review of applications for admission to HDR in accordance with s Higher by - Confirm fee type and details of offer, taking into account prior () Services Central provides prospective applicants with information provided in ask, or refer applicants to their proposed of Enrolment for more detailed advice. HoS as Assess applications for admission to HDR including consideration of resources required for proposed research including availability of supervisors, ensuring consideration to their overall workload. applications for admission to HDR for the faculty. Accept applications for admission to HDR, ensuring complete documentation is provided before referring to for. On advice from the, process initial enrolment and ongoing semesterly enrolments. Manage fees liability and payments (domestic Generate student file. Refer prospective applicants to Central (ask or information@usc.e du.au) Assess overseas qualifications for AQF equivalence and English language proficiency. Issue offers as advised by the, and processes response to offer (domestic Process acceptance of offer including payment of first semester s fees (international Support academic supervisors to conduct a research skills assessment for applicants as part of admission decision. Refer prospective applicants to Central (ask or information@usc.e du.au) Quality assurance for admissions to HDR s. Refer any out of policy admissions to the for consideration. Request offer be issued (or issue offer, depending on systems). Issue offers as advised by the Executive Dean of faculty, and processes response to offer (domestic Prepare offer documentation and provide to (international exemptions to standard eligibility criteria if recommended by Executive Dean. Monitor all admission decisions for the University. Reviewer of appeals against admission decisions made by of enrolment. Fees Payment of all fees by due dates. Investigate and document implications of changes to candidature on tuition fee liability (e.g. extensions beyond scholarship supported period). Apply for leave and submit milestones prior to semester census dates. Remind students to investigate tuition fee implications for proposed changes to Plan timeframes. Advise students on implications on tuition fee liability on proposed changes to Plan. Determine fee type to be offered to each accepted applicant. Process fee payments and follow up overdue fees (domestic students only). domestic students about fee liability. Refer international students to Finance. Process fee payments and follow up overdue fees (international students only). international students about fee liability. Refer s to the Fees team in Services to answer fee questions. Refer s to the Fees team in Services to answer fee questions. Advise about semesterly enrolment and fee type. 1

Milestone Principal Supervisor Co- Induction Undertake Induction as soon as possible after commencing candidature (within the first month). Attend a HDR Supervisor s Induction prior to participation on a supervision panel. Participate in supervision professional and induction as required by the University. Ensure each newly commencing HDR s start date is aligned with an available HDR Induction. Co-Supervisors: As for Principal Supervisors. to Associate Supervisors Coordinate HDR inductions, including laboratory inductions, ensuring each student has the opportunity to attend within one month of their commencement date. Finalise and print hard copy induction booklet based on central template provided by, adding relevant materials. () Present the Welcome to HDR Inductions (for HDR students and Supervisors), ensuring students have the opportunity to meet relevant research contacts across campus (e.g. librarian). Services the HDR Administrator for coordination and promotion of HDR Inductions as part of the Academic and Skills. Provide induction to international students including advice about living in Australia. the HDR Administrator for maintain standard content for HDR induction booklet (as required for compliance purposes) including relevant resources from other departments. training Identify and participate in appropriate research training workshops and seminars throughout candidature to ensure personal of the learning outcomes expected by the Australian Qualifications Framework. Conduct relevant assessment of each student s skills early in candidature, and recommend relevant training opportunities. Support student of the learning outcomes expected for the AQF level. Support the publication of the results of the student s research. Recommend specific topics for training to the () or nominee. the student s of learning outcomes expected for the AQF level, and support the publication of the results of the student s research. Attend inductions to meet newly commencing HDR Coordinate training activities including faculty information sessions for milestones. students regarding opportunities. deliver relevant research workshops, modules and seminars for HDR supervisors. Facilitate the provision discipline-specific research training activities within the faculty. recommend opportunities to HDR supervisors through PPR process to support continuous improvement of supervision practice and ongoing eligibility to maintain registration as a HDR supervisor. maintain relevant University web pages (e.g. Essentials calendar) to promote opportunities for research training for Liaise with other departments (faculties, library, ) to facilitate a single point of promotion of all activities across campuses. activities for HDR supervisors of international Provide a HDR liaison Officer within the counselling department to provide HDR specific expertise and support. deliver professional activities for HDR supervisors to support the continuous improvement of s supervision capacity. deliver a research skills appropriate to HDR level study. Assess feedback on the Essentials and support of new content in the 2

Milestone Principal Supervisor Co- Planning and Progress Review Prepare the initial RP in consultation with supervisors. Include all HDR milestones, planned participation in research activities and individual research project goals. Establish and maintain an agreement for the frequency of meetings with supervisor (see Supervision Agreement). Negotiate an agreement of work to be done and schedules to be adhered to with supervisor, and to review this agreement throughout the Document the progress of the work and present written or other material for comment, feedback, and discussion in a timely manner to allow for continuity of the research. Update the Plan and self-assess progress against goals set at last review. Identify areas for improvement and consider solutions to obstacles to progress. Complete progress reviews as required by the University and as requested by supervisors. Provide guidance to the student with regard to HDR milestones and resources available to build research skills and knowledge (e.g. Essentials). Develop a detailed Plan that supports achievement of AQF requirements for knowledge, skills and learning outcomes at the appropriate level. Clarify and document roles and expectations of all members on the supervision panel. Provide appropriate, helpful and explanatory feedback to the student on any agreed submissions, and return such feedback in reasonable time, and to assist students to develop solutions as problems are identified. Recommend monitored progress at the first indication of stalled progress and update the Plan as required to document measures implemented in support of continued progress. of RP and support progress towards candidature milestones. the RP including identifying the Co-Supervisor s specific contribution to the supervision team. Monitor and follow-up overdue submission in school processes. Ensure all relevant milestones and individual conditions of candidature are planned for in the RP. Monitor and follow-up overdue submission in school processes. Coordinate the review of progress as Higher by - () Provide regular summary reports to the RDC on new admissions and candidature progression. Ensure all relevant milestones and individual conditions of candidature are planned for in the RP. Monitor and assess performance of student relative to the standards required for the degree, and ensure that the student is clearly warned of shortcomings in performing the research and/or in meeting candidature requirements; and advised of ways in which such shortcomings might be remedied. Ensure that all arrangements to support continued progression are the Plan. Planning and Review documents. Services context of training requests received by students through their progress reviews. Ensure compliance with Education Services for Overseas s legislative framework including provision of reports to government bodies as deliver a research skills appropriate to HDR level study. Provide a template to support completion of this milestone, provided on relevant University systems accessible by supervisors. Quality assurance to ensure Planning and Review supports compliance with Higher by - Liaise with international to ensure compliance with Education Services for Overseas s legislative framework. exemptions to standard eligibility criteria if recommended by of enrolment. Reviewer of appeals against admission decisions made by of enrolment. ethics Participate in research ethics and integrity training modules prior to Provide student with information in relation to responsible research, WH&S, ethics and biosafety. Where the Ethics Officers for Provide guidance to the Ethics Officers for the Ethics Officers for Ethics Officers provide support to HDR their supervisors 3

Milestone Principal Supervisor Co- Confirmation of Candidature confirmation of Submit, with assistance from Supervisors, any Ethics Applications required for the research to take place. Follow appropriate ethical practices and seek further clarification where s have primary responsibility for the undertaking, active pursuit, and completion of the research. Complete confirmation of candidature and additional requirements as set by the at the required time. required, supervise and endorse an application for clearance to the University and any other appropriate ethics committee. Ensure that where approval is required that it is sought before the research commences and that the research is conducted in the terms of the approval of the ethics committee. supervisors about requirements for confirmation of candidature as documented in Higher by - Procedures and Provide appropriate, helpful and explanatory feedback to the student on any agreed submissions, and return such feedback in reasonable time, and assist students to develop solutions as problems are identified. Oversee the research outcomes of A supervisor must be satisfied that the research methods and outcomes of students are appropriate and valid. This includes providing advice and instruction, support and mentoring, review and criticism to enable the student to complete the research. student s preparation for progression to confirmed candidature as agreed in Supervision Agreement. Monitor and follow-up overdue submission in school processes. Coordinate the review of progress as Higher by - Ensure full supporting documentation including independent reviewer s reports and summary of revisions required Schedule confirmation seminars. () final outcome of application to progress to confirmed Conduct quality assurance checks on revisions (if required). Provide regular summary reports to the RDC on outcomes of applications for progression to confirmed candidature, including time to confirmation. Encourage attendance at faculty or school confirmation seminars. Services deliver a research skills appropriate to HDR level study. regarding ethics approvals processes. Ensure appropriate researcher activities are provided to support student in this area. Provide a template to support completion of this milestone, provided on the HDR Portal. Quality assurance of confirmation of candidature with Higher by - exemptions to standard eligibility criteria if recommended by Executive Dean. Reviewer of appeals against admission decisions made by Executive Dean. Provide guidance to independent reviewers. Publication Prepare relevant research publications with supervision panel. Provide guidance to students to respond to reviewer s reports, including making revisions as Provide guidance to students with regard to high quality publications as appropriate for the discipline for the student to target for the publication of their research. students about HDR publication requirements as documented Encourage research publication. students about HDR publication requirements as the HDR- Provide support and advice to Supervisors as Ensure appropriate researcher activities are provided to support deliver academic writing support activities. 4

Milestone Principal Supervisor Co- Authorship and intellectual property Understand authorship and intellectual property for appropriate attribution and credit for work (in the Academic Policy, Intellectual Property Governing Policy and Authorship - Procedures). in the HDR- Procedures and Understand authorship and intellectual property for appropriate attribution and credit for work (in the, Intellectual Property Governing Policy and Authorship - Procedures). Ensure students receive appropriate attribution and credit for their work (in the, Intellectual Property Governing Policy and Authorship - Procedures). () Provide support and advice to academic staff as Services student in this area. supervisors in the, Intellectual Property Governing Policy and Authorship - Procedures). Thesis preparation Prepare final copes of the thesis (including arrangements for its proofreading, printing and binding, and required thesis declarations), and submission of a thesis which meets the University s requirements on presentation and content. Conduct the research adhering to guidance from supervision panel. Prepare the written thesis. Submit drafts to feedback as agreed in the Plan. Work with supervisors on tables of changes following the examination of the thesis, and provide the with all requested materials following the recommendation of award of degree. At least two months prior to thesis submission, nominate suitable examiners in s HDR and associated Procedures. Supervise and guide the student through the process of research and writing the HDR thesis and through the subsequent theses examination process. This includes providing advice and instruction, support and mentoring, review and criticism to enable the student to complete the research. Oversee the research outcomes of A supervisor must be satisfied that the research methods and outcomes of students are appropriate and valid. Arrange as appropriate for student to make presentation of their research work in seminars and support them in their preparations. Comment critically and constructively and in reasonable time on the content and the drafts of the thesis and, at the time of submission, certify that the thesis is properly presented, Provide appropriate, helpful and explanatory feedback to the student on any agreed submissions, and return such feedback in reasonable time, and assist students to develop solutions as problems are identified. Comment critically and constructively and in reasonable time on the content and the drafts of the thesis and, at the time of submission, certify that the thesis is properly presented, conforms to the course requirements and is worthy of examination. students about thesis presentation requirements as Higher by - Coordinate and schedule final thesis presentations. Provide appropriate guidance to Critically review nominated examiners to ensure compliance with University standards before recommending nominated examiners to the. Ensure appropriate researcher activities are provided to support student in this area. deliver a research skills appropriate to HDR level study. Ensure appropriate researcher activities are provided to support student in this area. nomination of thesis examiners. 5

Milestone Principal Supervisor Co- conforms to the course requirements and is worthy of examination. () Services Thesis Submission Submit the thesis to the HDR Administrator by the due date, having arranged appropriate approvals and having met all thesis submission requirements. Conduct quality assurance checks prior to approval of thesis for submission for examination. review of progress as agreed in Supervision Agreement. Monitor and follow-up overdue submission in school processes. Provide advice as Higher by - submission of a thesis for examination. their HDR Coordinator for their HDR Coordinator for Provide template forms to support completion of this milestone, provided on the HDR Portal. Receive and record thesis submissions. Thesis Examination Graduation Quality and Continuity of Supervision Attendance optional. Liaise with Graduations team. Discuss expectations with supervision panel early in candidature and document agreements in Supervision Agreement. Principal Supervisors will not initiate contact with any of the examiners, including the Chairperson of examiners, without permission of the. Principal Supervisors support students during any required period of revisions to the thesis. Co-Supervisors will not initiate contact with any of the examiners, including the Chairperson of examiners, without permission of the. Co-Supervisors support students during any required period of revisions to the thesis. Ensure processes are followed. Coordinate seminars and arrange printing and binding of hard copies of the thesis. for Discuss expectations with supervision panel early in candidature and document agreements in Supervision Agreement. Raise any concerns with candidate and or other Discuss expectations with supervision panel early in candidature and document agreements in Supervision Agreement. Conduct quality assurance checks on revisions to HDR theses prior to recommending submission of a revised thesis to the relevant examiner(s). for candidates and Notify the Head of of any concerns raised Administer thesis examination in the Higher by - appoint appropriately qualified supervision panel for new candidates as part of Coordinate Graduation. Provide advice to HDR graduands regarding preparation for Graduation. for Provide support to HDR Supervisors as required, including casemanagement of individual HDR candidatures. Services regarding eligible HDR graduands. Maintain s Register of Supervisors. Provide reports to and to the thesis examination outcomes and award of degree. Monitor s register of HDR Supervisors. Consider exemption requests from regarding 6

Milestone Principal Supervisor Co- Raise any concerns with supervision panel in the first instance. Seek advice from () as Escalate to Head of as members of the supervision panel in the first instance. Seek advice from Associate Dean () as Escalate to Head of as Raise any concerns with candidate and or other members of the supervision panel in the first instance. Seek advice from () as Escalate to Head of as () through Plan and Progress Review reports. admission recommendatio n. PPR supervisors monitor staff workloads to ensure sufficient time is allocated in support of quality supervision and monitor staff performance in HDR supervision and address any deficiencies. Services as registration of supervisors and individual candidate supervision panels. Culture policy and procedures Communication a positive research culture by attendance and participation at relevant research seminars and engagement with HDR student groups. Familiarisation with processes and practices of candidature, University policies and procedures, and the Australian Code for Responsible Conduct of. Adopt safe working practices as set out in the Code for Responsible Conduct of. Comply with any obligations entered into as part of a scholarship, Intellectual property, Confidentiality or other formal contract or agreement. Update Central with preferred email address for with the University to support s protection of student privacy. Ensure that the role model they provide to students encourages a research culture of excellence, integrity, professionalism and mutual respect, and to maintain a professional relationship at all times with the student. Have a thorough understanding of University policies, procedures and guidelines so that accurate advice and appropriate support is given to Provide student with information on the Australian Code for Responsible Conduct of, and University policies. The Principal Supervisor has primary responsibility for coordinating between all supervisors and the student. support current procedures. Provide advice to students and required or refer to. Participate in candidature meetings as agreed in the Supervision Agreement Support and promote research activities and facilitate HDR student participation. support current procedures. required or refer to. Primary point of contact for HDR Provide support and guidance to HDR Actively promote research culture including HDR support current procedures. HoS and PPR line liaise on these matters as Support of a positive and productive research culture in the Faculty. support current procedures. Support and promote research activities and encourage HDR participation. support current procedures. Provide advice to students and required or refer to. Consult with the to facilitate of university wide procedures to include HDR candidates. As As Support regular between HDR their of enrolment. Utilise university CRM software for with HDR Consult with the to facilitate of university wide procedures to include HDR candidates. Utilise university CRM software for with HDR Develop, maintain, and promote research-related and consult with stakeholders as Utilise university CRM software for with HDR positive research culture. As 7

Milestone Principal Supervisor Co- Maintain regular contact with supervisor and endure that a reasonable timetable of meetings and submitted work is agreed and maintained. Maintain continuous enrolment, or seek approval for leave of absence or interruptions when necessary. Advise supervisor of any significant factors which may affect progress and, in consultation with supervisors, initiate any variations to candidature as Complete HDR degree within maximum completion times wherever possible. Be aware of Complaints and Appeals procedures and refer problems which cannot be resolved as per policy. Establish and maintain an agreement for the frequency of meetings with student (see Supervision Agreement). Advise student of procedural and substantive rights and responsibilities at the first meeting or within a month of meeting. Negotiate an agreement of work to be done and schedules to be adhered to with student, and to review this agreement throughout the Advise the student of any expected absences and the alternative arrangements to be implemented for supervision during that absence. Be aware of grievance policy and procedures and refer problems which cannot be resolved as per policy. Advise the student of any expected absences and the alternative arrangements to be implemented for supervision during that absence. Be aware of grievance procedures and refer problems which cannot be resolved as per policy. Provide timely reminders about upcoming student milestones and opportunities for participation in research activities. () Services Utilise university CRM software for with HDR As required with regard to tuition fees collection, graduation activities and other matters as 8