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Scholarship and Prize Establishment and Management Procedures

Abstract

These Procedures apply to all scholarships and prizes offered by UTS and should be read in conjunction with the Scholarships and Prizes Policy.

The Scholarship and Prize Establishment and Management Procedures are also available as a PDF document.

Dates Procedures approved 20/08/2014
Procedures takes effect 08/09/2014
Procedures due for review (up to five years) 08/2019
  • Procedures amendment approved 06/04/2016
  • Procedures amendment takes effect 15/04/2016
Approved by Provost
Latest amendment: Provost (see change history for details)
Implementation Officer Director, Student Administration Unit
Relevant to
  • All staff responsible for decision-making and administration of scholarships and prizes
  • All students
Related documents
Legislation
File number UR12/1405
Superseded documents
  • Policy and Procedures for the Administration of Prizes, 2000
  • Guidelines for the Acceptance of New Prizes, 2000

Contents

1. Purpose

The Scholarship and Prize Establishment and Management Procedures (the Procedures) described in this document are intended to support implementation of the Scholarships and Prizes Policy. The Procedures outline requirements for the establishment of UTS scholarships and prizes, balancing the expectations and obligations of the University and external parties in the best interests of UTS students.

2. Scope

These Procedures apply to all UTS staff and students and articulate standardised processes for the establishment of UTS scholarships and prizes.

3. Definitions

The terms and definitions used in this document are defined in the Scholarships and Prizes Policy.

4. Procedural principles

The following procedural principles apply:

  • Candidates for scholarships and prizes will be assessed using defined selection criteria as outlined in the approved conditions of award.
  • Eligibility criteria and selection criteria will be clearly articulated and applied fairly and equitably.
  • Staff and students are responsible for ensuring that they are familiar with these Procedures.
  • The principles outlined in the Privacy Vice-Chancellor's Directive and the Records Management Vice-Chancellor's Directive apply when managing all student and award information.
  • Staff who believe at any time that a conflict of interest has arisen in relation to an award must bring this to the attention of their immediate supervisor.

5. Procedural statements

5.1 Establishment of a UTS scholarship or prize

5.1.1 Depending on the nature of the scholarship or prize and the number and nature of stakeholders, the establishment process can take between four weeks and several months to establish. Appendix A provides a flow chart of the award establishment processes and projected timelines.

5.1.2 The faculty or unit should contact the Scholarships Office in the first instance for advice on whether the award should be established as a scholarship or a prize.

5.1.3 Scholarships for coursework students and all prizes are supported by the Scholarships Office, which will coordinate the process of establishing and approving the conditions of award. Scholarships for graduate research students will be referred to the Graduate Research School, which will coordinate the process of establishing and approving the conditions of award.

5.1.4 The Scholarships Office or Graduate Research School (as appropriate) will facilitate in developing the conditions of award according to the owning faculty/unit's requirements, taking into account UTS Rules and Policies and the expectations of donors and/or sponsors.

5.1.5 Where a scholarship or prize does not comply with the requirements of the Scholarships and Prizes Policy in relation to the minimum value, the owning faculty/unit must seek approval from the Provost prior to proceeding with establishment or review of a scholarship or prize. For coursework scholarships and all prizes, the Scholarships Office can provide a template approval document.

5.1.6 Conditions of award must be developed using the condition of award template for either scholarships or prizes (as appropriate) approved by the Scholarships Office (see Appendix B and Appendix C). All sections of the template must be completed; the words 'not applicable' must be inserted into any sections that are not relevant to specific scholarships or prizes.

5.1.7 All stakeholders must endorse the conditions of award at clause 14 in the condition of award template prior to submission for final approval. For coursework scholarships and all prizes the endorsement of the Scholarships Office is required prior to final approval.

5.1.8 The Graduate Research School will arrange for the approval of conditions of award for scholarships and cross-faculty prizes for graduate research students.

5.1.9 The owning faculty/unit may wish to negotiate with another UTS unit to manage aspects of the administration of the award. In this case, clear division of roles and responsibilities is to be documented and agreed and approved in the conditions of award.

5.1.10 Scholarships and prizes can be funded internally through UTS budgeting or externally through donations, sponsorships or government funding, or a combination of these.

5.1.11 Where a potential or current donor or sponsor contacts a UTS faculty or unit with the intention of establishing an award, the faculty/unit should immediately seek advice from the External Relations Office (unless the activity of managing external relationships is based in the faculty), and refer to the UTS Fundraising Policy and Standing Delegations of Authority for information on accepting, negotiating and drafting funding agreements. The tax implications of external funding may determine what kind of agreement is set in place. For further advice, contact the External Relations Office and refer to Australian Tax Office policy for more information.

5.1.12 If the funds are being philanthropically donated (usually tax deductible for the donor), the External Relations Office should be involved as early in the establishment process as possible.

5.1.13 If the funds are a sponsorship (not tax-deductible for the sponsor due to them receiving some benefit from the sponsorship), the External Relations Office should be notified of the intended arrangement. The External Relations Office will advise on the establishment of Sponsorship Agreements or contracts (see section 6.5 below).

5.1.14 The Research and Innovation Office provides support for faculties and units in relation to identifying and securing external sourcing of sponsorship and government funds.

5.1.15 The draft conditions of an award and the funding (gift/sponsorship) agreement are interdependent documents and must be in alignment with each other, requiring the collaboration of all stakeholders to finalise them at all stages of development.

5.1.16 Where other types of funding are involved, advice is to be sought from the Scholarships Office in the first instance. It may be necessary to consult UTS Legal, so this timeline and the requirement to submit a 'request for advice' should be considered.

5.1.17 UTS does not provide advice to third parties as to tax implications of donations and sponsorships. Third parties are to be directed to obtain external advice if required.

5.2 Approval of UTS awards

5.2.1 Authorities responsible for the approval of awards are articulated in the Standing Delegations of Authority (see Delegation 4.11 on Scholarships, prizes and the University Medal). For coursework scholarships and all prizes, the Scholarships Office can provide a template approval cover sheet.

5.2.2 It is the responsibility of the owning faculty/unit to notify the Scholarships Office of approval (or where relevant, review) of scholarships and prizes. The Scholarships Office will add the award details to the UTS authoritative source database for display on the UTS website.

5.2.3 Faculties and units are responsible for arranging scholarship and prize giving events in consultation with the Scholarships Office.

5.2.4 Faculties and units should record recipients of scholarships and prizes in the UTS student system.

5.3 Communication of award

5.3.1 The UTS Scholarships and Prizes website is the core communications channel for award information. Standard details of all UTS scholarships and prizes must be publicly available on the UTS website.

5.3.2 The Scholarships and Prizes website is managed by the Scholarships Office who has responsibility for the data maintenance of the authoritative award source and for standardising scholarship and prize information as appropriate.

5.3.3 The owning faculties and units are responsible for advising the Scholarships Office of any changes to award details. Award information on faculty and unit websites must be drawn from the authoritative source data that is on the Scholarships and Prizes website.

5.3.4 The Scholarships Office will act as a point of focus for the promotion of UTS scholarships and prizes at UTS open days, and will work with the Marketing and Communications Unit, faculties and the External Relations Office in developing the overarching scholarships and prizes communication and marketing strategy.

5.3.5 Each faculty and unit will develop marketing and publications plans for its own scholarships and prizes in consultation with the Scholarships Office.

5.3.6 The advertising and promotion of the scholarship or prize must reflect the criteria defined in the current approved conditions of award.

5.4 Management of awards

This section outlines the processes involved in managing, maintaining and reviewing a UTS scholarship or prize.

5.4.1 The owning faculty/unit will create and maintain an official file for each scholarship and prize in accordance with the Records Management Vice-Chancellor's Directive. All decisions regarding the scholarship or prize are to be documented and maintained in the official file, including:

  • all versions of approved conditions of award
  • establishment information
  • copies of all relevant signed agreements and/or contracts
  • documents relating to funding
  • award approval and review dates
  • minutes/notes of scholarship and prize selection meetings, and
  • recipient details.

5.4.2 Scholarships and prizes should be reviewed every five years at a minimum (by the owning faculty or unit) and should assess the conditions of award, viability of award, recipient feedback (where appropriate) and factors relating to the award communication and management. Reviews should ensure compliance with these Procedures, the Scholarships and Prizes Policy and related UTS policies. Where a scholarship or prize under review does not comply with the requirements of the Scholarships and Prizes Policy in relation to the minimum value, the owning faculty/unit must seek approval from the Provost. For coursework scholarships and all prizes, the Scholarships Office can provide a template approval document.

5.4.3 Results of the review process should be communicated to the officers responsible for the approvals of awards articulated in the Standing Delegations of Authority (see Delegation 4.11 on Scholarships, prizes and the University Medal). Revised conditions of award should be submitted to the Scholarship Office for endorsement prior to approval.

5.4.4 Changes to conditions of award: When the dean (or nominee) or director (or nominee) approves the phasing out and disestablishment of a scholarship or a revision of an existing scholarship's conditions of award, the dean, director or nominee, or Scholarships Office as appropriate, must ensure that the approved change is communicated to the scholarship recipients. This advice must:

  1. state what the changes are
  2. in the case of a revision of the conditions of award for a scholarship:
    1. specify the revised conditions of award, and
    2. state whether recipients shall be given the option to continue under the existing conditions of award or be obliged to transfer to the new conditions of award. Recipients should only be obliged to transfer to the new conditions of award when this request is deemed reasonable and does not disadvantage the recipient (for example, in relation to the value of the scholarship).
  3. in the case of the phasing out and disestablishment of a scholarship, conditions of award must not be affected for any current scholarship recipients who have already accepted a scholarship at the time the decision to phase out or disestablish a scholarship was made.

If a scholarship recipient is required to change to revised conditions of award, the relevant dean (or nominee) or director (or nominee), or Scholarships Office as appropriate, must provide a transitional arrangement which will satisfy the requirements of the revised conditions of award. Details of the transition arrangement must be provided to the Scholarships Office, who shall ensure that it is recorded and used as the basis for administration of the scholarship.

5.4.5 The Scholarships Office will provide an annual report to the Director, Student Administration Unit outlining scholarships and prizes statistics across UTS for the calendar year. The Scholarships Office will request information, including accounting data, for this report from all relevant areas of UTS. This information must be provided to the Scholarship Office upon request.

5.4.6 The External Relations Office in conjunction with the owning faculty/unit will report to external donors and sponsors the information pertaining to their scholarships, prizes and recipients.

5.4.7 A recipient of a scholarship may have their scholarship terminated in accordance with the principles outlined in the Scholarships and Prizes Policy.

  1. If a recipient is found to have breached the conditions of award, the following steps should be followed:
    • The recipient must be notified of the breach of the scholarship conditions of award in writing by the owning faculty/unit.
    • The owning faculty/unit should identify the nature and, where possible, the timing of the breach.
    • The recipient must be given 10 working days to respond to the breach notification.
    • Any response received from the recipient must be submitted to and considered by the relevant scholarship selection committee (coursework) of the owning faculty/unit.
    • The scholarship selection committee recommends an appropriate outcome following the breach. The scholarship must be terminated unless the recipient has sufficient grounds and is able to demonstrate mitigating circumstances (including but not limited to illness or disability). The scholarship selection committee may determine to:
      1. allow the continuation of the scholarship with no changes to the scholarship conditions, or
      2. suspend the scholarship for one semester, with the relevant scholarship payment for the period forfeited. Provided the recipient meets the ongoing eligibility requirements of the scholarship during the suspension of the scholarship, the scholarship will be reinstated (payments will resume) from following semester. A suspension of this type may only be applied once during the scholarship period.
    • The outcome of the review must be communicated to the recipient in writing by the owning faculty/unit (under the authority of the chair of the scholarship selection committee) without delay, and documented in the appropriate recipient file.
    • If the outcome of the scholarship selection committee consideration is to terminate the recipient's scholarship, or where the recipient does not respond to the notification of breach within the requested timeframe, the recipient is notified of the scholarship termination in writing by the owning faculty/unit (under the authority of the chair of the scholarship selection committee) without delay.
  2. If UTS determines that the student is guilty of misconduct and is permitted to continue their enrolment, the following steps should be followed:
    • The owning faculty/unit will consult with the Director, Governance Support Unit and deem whether it is appropriate for the recipient to continue to hold the scholarship. If it is deemed that the recipient will not continue to hold the scholarship, then the scholarship will be terminated; and
    • The recipient must be notified of the termination in writing by the owning faculty/unit; and
    • The owning faculty/unit should identify that the determination was due to misconduct in the notification of termination.

Where the scholarship is terminated and the recipient is required to reimburse any part of the scholarship payment to the University (if stipulated in the scholarship conditions of award), the recipient must be notified in writing, by the owning faculty/unit (under the authority of the chair of the scholarship selection committee), of the process of reimbursing funds to the University at the time of the scholarship termination notice.

5.4.8 Where a scholarship or prize will not continue to be offered, the dean/director (or nominee) (Delegation 4.11) must approve the disestablishment and the owning faculty/unit must advise the Scholarships Office, who will manage the disestablishment process.

5.4.9 Any recipient requests to waive clauses in the conditions of award due to changes in recipients' circumstances not specified or addressed in the scholarship conditions of award must be forwarded for the consideration by the scholarship selection committee. The decision about these requests or changes must be authorised by the chair of the scholarship selection committee on the recommendation of the committee.

5.5 Award recipient selection

5.5.1 Award recipients should be selected in line with the selection criteria outlined in the conditions of award and with regard to the general principles outlined in the Scholarship and Prizes Policy and authorities provided in Standing Delegations of Authority at Delegation 4.11.

5.5.2 Where a selection committee or panel has been established to facilitate the dean or director (see Standing Delegations of Authority, Delegation 4.11) the following procedures apply:

  • The selection committee or panel shall be chaired by the dean/director or their nominee.
  • The selection committee or panel members will be chosen in line with the Scholarships and Prizes Policy (section 5.5).
  • The chair shall convene the selection committee or panel in accordance with the relevant conditions of award.
  • The panel or committee shall recommend award recipients for approval by the dean, director (or nominee) as outlined in Standing Delegations of Authority at Delegation 4.11.

5.5.3 Award recipients will be paid using the UTS supported system for reconciliation, reporting and auditing purposes. For reconciliation, reporting and auditing:

  • All recipient payments must be identified as a scholarship or prize expenses using the relevant code from the designated list of scholarship and prize 'natural accounts' available from the Financial Services Unit (FSU).
  • All payments are to be paid from a dedicated scholarship activity under the owning faculty/unit's accounting organisational unit. Where recipients receive regular, ongoing payments (for example, stipends), and their payments could be taxable, payments are to be made through the FSU payroll system.

6. Roles and responsibilities

A full list of roles and responsibilities can be found in the Scholarships and Prizes Policy.

Below is a list of main officers and units with procedural responsibility for the establishment of awards and management of awards under the Scholarships and Prizes Policy.

6.1 Accountable Officer

Provost

6.2 Implementation officer

Director, Student Administration Unit

6.3 Contact Officers

Scholarships Manager and Director, Graduate Research School

6.4 The Scholarship Office is responsible for:

  • managing all coursework scholarships open to students from more than one faculty or are non-course specific
  • managing specific processes for other coursework scholarships upon request from and negotiation with the owning faculty/unit, and
  • other roles and responsibilities as clearly defined and articulated in the new or revised conditions of award.

6.5 The External Relations Office is the University office including Alumni Relations, Development and External Engagement.

6.6 The Development Office within the External Relations Office is responsible for managing the University's relationships with donors and prospective donors, and for providing leadership and management of philanthropy and corporate partnerships on behalf of UTS in accordance with the Fundraising Policy. It is responsible for the receipt and distribution of donated funds. It also develops and implements strategies for donor relationship management, in partnership with other UTS staff.

6.7 Owning faculties/units are responsible for the management of prizes and coursework scholarships (and the recipients thereof), unless the involvement of another area (such as the Scholarships Office) has been negotiated. This includes administering the scholarship lifecycle including the following phases: application, eligibility checking, selection process, offers, acceptances, payment, monitoring of ongoing recipients and terminate payments in cases where the recipient is in breach of conditions of award.

6.8 The Research and Innovation Office provides support for faculties and units in identifying and securing external sourcing of sponsorship and government funds.

6.9 The Graduate Research School is responsible for managing scholarships and cross-faculty prizes for graduate research students and allocating competitive graduate research scholarships across UTS.

7. Version control and change history

Effective date Version Approved by (date) Amendment
21/12/2012 1 Senior Deputy Vice-Chancellor (08/11/2012) New Procedures.
01/09/2014 2 Senior Deputy Vice-Chancellor (20/08/2014) Amendments to section 5 in relation to establishment of a UTS scholarship or prize and the management of awards. Inclusion of Appendix D. Scholarship Selection Committees Procedures. Minor changes to wording for clarification.
23/12/2015 2.1 Director, Governance Support Unit (15/10/2015) Minor changes to align with amendments to the Student Rules and Senior Executive titles; and to cover disestablishment of the Registrar position.
15/04/2016 2.2 Provost (06/04/2016) Amendments to institute selection committees for prizes where a qualitative judgement on outcome is required. Minor editorial amendments.

Appendix A. Flowchart of steps for establishing a UTS scholarship or prize (PDF)

Appendix B. Conditions of award template for UTS scholarships (.docx)

Appendix C. Conditions of award template for UTS prizes (.docx)

Appendix D. Prize and Scholarship Selection Committees Procedures (PDF)