4 Supervision of research students

• 4.1 Code of practice for supervision of doctoral candidates
• 4.2 Responsibilities at institutional level
• 4.3 Responsibilities at the departmental> level
• 4.4 Responsibilities of the supervisor
• 4.5 Responsibilities of the candidate
• 4.6 Codes of practice for other research students

4.1 Code of practice for supervision of doctoral candidates

While doctoral candidates in different faculties and disciplines will have various needs and will place different demands on the intellectual and physical resources of the university, there are certain common issues and responsibilities which apply to all faculties, departments, schools, centres, supervisors and candidates, regardless of their discipline or area of research. It is the objective of these guidelines to set out those fundamentals.

4.2 Responsibilities at institutional level

The university has the responsibility to ensure that appropriate policies are developed and implemented university wide and within the faculties, schools, departments and centres of the university, to ensure that:

• the candidate, where necessary, has access to guidance and tuition in English language, computing, word processing skills, statistical advice and information resources;
• the intellectual property rights of all parties are protected;
• the university's standards and requirements for the particular degree are adhered to;
• there is access to physical space and appropriate research resources;
• adequate and accurate information and induction procedures are provided;
• there are annual reporting requirements which enable both staff and student views to be adequately represented;
• there are procedures by which either the candidate or the supervisor may make representations as appropriate as significant difficulties arise (grievance procedures);
• all supervisors are aware of the necessity to implement the university's code of practice for the conduct of research and are aware of the working procedures of the ethics committees;
• adequate provision is made for staff development of supervisors and potential supervisors;
• there are appeals procedures setting out the grounds on which, and means whereby candidates may appeal against the conduct and outcome of the examination and evaluation of their candidature;
• there are clear guidelines for examiners/adjudicators outlining in particular the institution's expectations for the degree;
• the university's administrative procedures assist students to complete their degrees as expeditiously as possible;
• positive academic, departmental and faculty cultures are promoted for the benefit of postgraduate students.

4.3 Responsibilities at the departmental> level

Normally the role of the departmental head but in some faculties/departments this may be delegated to the chairman of the graduate studies committee of the relevant faculty. It is the responsibility of the department to ensure that:

4.3.1 the likelihood of a candidate's success in the pursuit of a higher degree is enhanced by selection and admission procedures which include monitoring that

• the candidate is appropriately qualified for admission to candidature
• the candidate appears to have the capacity required to undertake the course successfully and in reasonable time
• the research project proposed is appropriate for the degree
• the department is the most appropriate one in which the research is to be undertaken
• the project is feasible in terms of time, facilities, equipment, technical and resource staff, source materials and funding for the expected duration of the research required for the doctoral degree (It should be noted that the expected duration of the candidature should usually be three years full-time equivalent.)
• due recognition is given to the research interests and ability of the student in determining the project
• information is provided to prospective candidates about the research interests and experience of all staff in the department;

• the proposed supervisor is sufficiently expert and interested in the area of research to offer the candidate proper supervision
• the proposed supervisor has sufficient experience in recent supervision, or has undergone professional development in this area, or that an associate supervisor is appointed with such experience
• the proposed supervisor shall not be a candidate for a research degree[[hungarumlaut]]
• a supervisor is not normally put in charge of more than five full-time equivalent doctoral students (Where it is proposed that a supervisor undertake supervision in excess of this number, the department and faculty must satisfy the PhD and Scholarships Committee that the additional supervisory load will still allow the supervisor to discharge satisfactorily the responsibilities set out in section 4.4 of these guidelines.)
• the workload of the supervisor is such as to allow sufficient time to give proper supervision to the candidate, according to the guidelines
• if the supervisor is to be temporarily absent in excess of six (6) weeks an alternative supervisor is appointed prior to the supervisor's absence

- for interdisciplinary or highly specialised research projects

- to cover anticipated absences of supervisor

- to complement the skills of the principal supervisor

- to provide professional development in research supervision for members of staff with limited experience in this field, or

- to provide local academic support for students undertaking study away under Regulation 7.3.3 of the Course and Degree (Doctor of Philosophy Program [all faculties]) Regulations (the primary supervisor's responsibility must be clearly designated and understood by both supervisors and candidates);

4.3.3 an academic staff member within a department is appointed to act as a coordinator of graduate studies, to monitor the general progress and welfare of postgraduate candidates and in those cases where the graduate coordinator is head of department, there shall be another member of staff to provide an alternative avenue of consultation for students;

4.3.4 written information is produced and distributed to all postgraduates by the department with details on requirements and procedures relating to all postgraduate matters administered at departmental level including

• a statement on the facilities and resources available to postgraduates within the department and within the university (eg library, computing and technical facilities, word processing training, statistical advice, English language tuition)
• a list of staff and research students and their areas of interest, to assist students in their selection of a supervisor
• guidelines on authorship and intellectual property and the procedures for monitoring them within the department consistent with university policy on these matters
• departmental/faculty policy on the timing and mode of presentation of those reports by which a candidate's progress is assessed
• grievance procedures, whereby candidates may make representation to the head of department, appropriate officer and/or departmental/faculty committee or university committee, if they believe that their work is not proceeding satisfactorily for reasons outside their control, especially in situations involving the problems of supervision or unresolved conflicts between candidates and supervisors
• guidelines on appeals procedures at departmental level, consistent with university policy on appeals procedures;

• orientation programs at the departmental or appropriate level for postgraduates and their supervisors, to clarify procedures, give advice and discuss the expectations of candidates and staff
• seminars on research procedures relevant to postgraduate-level research
• a regular program of graduate seminars in the department's research areas
• training workshops on occupational health and safety procedures
• seminars on appropriate training in ethical issues and procedures
• seminars and courses to provide information and skills development as well as opportunities for all students to participate in the intellectual and social life of the department;

4.3.7 the candidate's research program is not unreasonably influenced or redirected by political, commercial or industrial factors.

4.4 Responsibilities of the supervisor

It is the responsibility of the supervisor to maintain a professional relationship at all times with the candidate and to:

4.4.1 give guidance about the nature of research and the standard expected, about the choice of research topic, about the planning of the research program and presentation of a research proposal, about literature and sources, attendance at taught classes where appropriate, and about requisite techniques (including arranging for instruction where necessary);

4.4.2 be particularly sensitive to the need to ensure productive use of the candidate's time especially in the first year of candidature;

4.4.3 give detailed advice on the necessary completion dates of successive stages of work so that the whole may be submitted within the scheduled time;

4.4.4 encourage the candidate to show initiative and self motivation so he/she will be able to pursue independent research with confidence in the final stages of candidature;

4.4.5 establish and maintain a schedule of regular (at least monthly) meetings with the candidate in accordance with faculty/departmental policy and in the light of discussion of arrangements with the candidate;

4.4.6 recognise the importance of requesting regular written work, interim reports or research results as appropriate and to return such work, including the final draft of the thesis, with constructive criticism normally within one month at most or within a shorter time frame which has been determined as appropriate within the department;

4.4.7 ensure that where a change in research direction occurs, appropriate supervisory adjustments are negotiated;

4.4.8 ensure that the candidate is adequately trained in safe working practices relevant to the field of research and adheres to the guidelines established by the university's Occupational Health and Safety Policy Committee and as adopted by Council;

4.4.9 ensure that the candidate is aware of the `Guidelines for responsible practice in research' and the `Problems of research misconduct' and in particular of the need to follow ethical practices appropriate to the particular discipline and relevant profession, and as specified by the university's standing committees on ethics in research on humans, animal experimentation and biosafety and the ethics guidelines set by any relevant funding body;

4.4.10 arrange as appropriate for candidates to make presentations of their research work to departmental seminars;

4.4.11 facilitate the candidate meeting other researchers in the field, and attending meetings or conferences, as appropriate;

4.4.12 ensure that the candidate plays a full and active role in the intellectual life of the department (particularly important in the case of part-time candidature and also for those candidates whose major work is being conducted away from the university department or in a joint project with a commercial or industrial partner);

4.4.13 ensure that the work reported in the dissertation is the student's own;

4.4.14 ensure the direction of the work is entirely under the control of the university and candidate in accordance with university policy;

4.4.15 encourage, where appropriate the publication of the results of the research;

4.4.16 ensure that agreement is reached with the candidate concerning authorship of publications and acknowledgment of contributions during and after candidature (There should be open and mutual recognition of the candidate's and supervisor's contribution on all published work arising from the project. It should not be automatically assumed that the supervisor's name or candidate's name will appear on all such published work.);

4.4.17 ensure adherence to the university policy and guidelines on intellectual property;

4.4.18 ensure that the candidate is made aware of the standard of work that is generally expected;

4.4.19 ensure that the candidate is made aware of inadequate progress by specifying the problems and suggesting ways of addressing them (If supervisors think they may become obliged to recommend that a candidature be terminated because of unsatisfactory progress, by decision of the Professorial Board (Meeting 3/75), they must give the candidate a preliminary written warning to that effect, and send copies of the warning note to the head of department and to the secretary of the PhD and Scholarships Committee);

4.4.20 report regularly in writing, as required, on the candidate's progress to the head of the department and to the PhD and Scholarships Committee;

4.4.21 advise the head of department or dean of the names of possible examiners, after consultation with the candidate;

4.4.22 ensure that original data is recorded in a retrievable durable and appropriately referenced form and stored safely for a period appropriate to the discipline, but in any case not less than five years.

4.5 Responsibilities of the candidate

It is the responsibility of the candidate to maintain a professional relationship at all times with the supervisor and other university staff and to:

4.5.1 be familiar with the doctoral regulations and departmental guidelines and written information pertaining to postgraduate work;

4.5.2 utilise the resources, facilities and opportunities available to facilitate progress in the research;

4.5.3 contribute to the development of the intellectual community provided by the department, and acquire or improve the skills and knowledge required for the completion of the project;

4.5.4 be aware of opportunities for meeting other researchers in the field and attend seminars, meetings and conferences, as appropriate;

4.5.5 adopt at all times, safe working practices relevant to the field of research and adhere to the guidelines established by the university's Occupational Health and Safety Policy Committee, and as adopted by Council;

4.5.6 adhere to ethical practices laid down in the `Guidelines for responsible practice in research' and the `Problems of research misconduct';

4.5.7 follow ethical practices appropriate to the particular discipline and relevant profession, and as specified by the University's standing committees on ethics in research on humans, animal experimentation and biosafety and the ethics guidelines set by any relevant funding body;

4.5.8 ensure that original data is recorded in a retrievable, durable and appropriately referenced form and stored safely for a period appropriate to the discipline, but in any case not less that five years;

4.5.9 initiate discussions with the supervisor and any associate supervisor(s) on the type of guidance and comment considered most helpful, and agree to a schedule of meetings which will ensure regular contact;

4.5.10 take the initiative in raising problems or difficulties, and seek solutions to these problems;

4.5.11 become aware of departmental grievance procedures, but seek negotiated solutions to any problems before recourse to those procedures;

4.5.12 document the progress of the work as agreed with the supervisor, and present written or other material as required, in sufficient time to allow for comments and discussions before proceeding to the next stage;

4.5.13 provide in association with the supervisor, an agreed formal report to the PhD and Scholarships Committee, and other reports as required. It is the responsibility of the candidate as well as the supervisor, to bring to the attention of the PhD and Scholarships Committee any problems and difficulties that may have hindered the progress of the research;

4.5.14 prepare the thesis for examination, including arrangements for its typing, proof reading, and binding after consulting with the supervisor, as appropriate, regarding matters of style and presentation.

4.6 Codes of practice for other research students

Faculties shall develop versions of the code of practice for doctoral candidates which are suitable for other research students and ensure that copies are distributed to research students and their supervisors.

>^>> Including centres and schools which report to a faculty and which have been approved for the purposes of PhD enrolment.

[[hungarumlaut]]^{[hungarumlaut][hungarumlaut]} In exceptional circumstances, staff candidates under regulation 14 of the Course and Degree (Doctor of Philosophy Program [all faculties]) Regulations may be permitted to supervise candidates in research areas other than that being pursued for their own candidature.

Published by Monash University, Clayton, Victoria 3168 Copyright © Monash University 1996 - All Rights Reserved - Caution Authorised by the Academic Registrar December 1996