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Guidelines
for Supervision and Candidature
of Doctoral Research Students
THE
AUSTRALIAN NATIONAL UNIVERSITY
GRADUATE
DEGREES COMMITTEE
GUIDELINES
FOR SUPERVISION
AND
CANDIDATURE OF DOCTORAL RESEARCH
STUDENTS
These
Guidelines are based on the Doctor
of Philosophy Rules; GDC Paper 2988B/1987
(rev. 1996), Supervision of PhD
Students; and Paper 725/1995,
Operating Procedures of the Graduate
School. The Guidelines follow
the framework of the latest Australian
Vice-Chancellors’ Committee Code
of Practice for Maintaining and
Monitoring Quality and Standards
in Higher Degrees (July 1998;
1st ed., 1987).
1
SUPERVISORY PANELS
1.1
Supervisory Panels
The
Australian National University provides
supervision and advice for each
doctoral research student through
a supervisory panel (rather than
a single supervisor only). A supervisory
panel consists of at least three
members, with a usual maximum of
five, including at least one supervisor
and two other members who may be
supervisors or advisors. Each panel
has a chair who is a supervisor,
and includes a supervisor who is
a full-time member of the academic
staff of the Australian National
University.
Supervisors
are normally appointed from amongst
the full-time academic staff of
the University, have research expertise
and experience relevant to the area
of the student's proposed research,
and are expected to hold a university
appointment for the duration of
the course. Where it is appropriate
to appoint a panel member from
outside the University, who has
particular expertise unavailable
within the University, an additional
supervisor or advisor may be appointed
by the Graduate Degrees Committee.
Advisors are appointed to provide
access to additional expertise,
and to provide wider contacts for
the candidate.
1.2
Provisional Supervisor(s), Supervisors
and Advisors
When
an applicant is recommended for
admission to the University, Heads
of Departments or areas nominate
a provisional supervisor(s) to the
Prescribed Authority (normally the
Director of a School, Dean of a
Faculty or Head of a Centre), and
obtain the agreement of the provisional
supervisor. The Prescribed Authority
will not accept applicants for admission
unless appropriate supervisory arrangements
can be made for the specific field
and course of study.
Where
possible applicants are told the
name(s) of their provisional supervisor(s)
and panel chair when they are offered
a place, preferably after direct
consultation between applicant and
prospective supervisor. The student
is enrolled in a Graduate Program
and normally located in the School,
Faculty, or Centre to which the
panel chair is appointed. Supervisors
are initially appointed by the Prescribed
Authority within one month of the
admission of a candidate to a course.
Supervisors for professional
doctorate candidates
are normally confirmed within one
month of the start of the thesis
component or earlier.
1.3
Changes in Supervisory Panels
Candidates
or panel members may request
changes in supervisory panel arrangements
during candidature, and may
seek advice on this from the Head
of Department/area, Graduate Program
Convenor, Prescribed Authority,
Dean of the Graduate School, the
Research and Scholarships Office
or from the Postgraduate and Research
Students' Association (PARSA). Changes
must be approved by the Prescribed
Authority/ies.
1.4
Change in Student Status and Supervisory
Panels
Any
proposed change in student status
which has implications for supervision
arrangements, such as a temporary
move to another location for research
purposes or a move to take up employment
elsewhere, requires approval by
the Prescribed Authority, with the
written support of the supervisor,
well in advance of any such proposed
move. It may be necessary to appoint
another supervisor in any new location
to ensure adequate day-to-day supervision,
in addition to maintaining email
or other communication between the
chair of the panel and the candidate.
1.5
Acting Supervisors - Arrangements
During the Absence of a Supervisor
When
a sole supervisor on a supervisory
panel goes on extended leave for
more than three consecutive months,
it is necessary for an acting supervisor
from within the University to be
nominated. It is the responsibility
of the Head of Department to make
a nomination to the Prescribed Authority,
normally at least a month before
the supervisor departs, and after
consultation with the candidate.
It is expected that the original
supervisor will continue to have
regular contact with the candidate
when practicable, but the acting
supervisor will be responsible as
chair of the supervisory panel and
for day-to-day assistance required
by the candidate.
Where
there is more than one supervisor,
the supervisor remaining on campus
when the other goes on study leave
or other approved leave will normally
assume responsibility as chair of
the panel.
2
RESPONSIBILITIES OF SUPERVISORS
The
chair of the supervisory panel is
responsible for arranging panel
meetings of supervisors and advisors,
including the initial meeting with
the candidate, panel meetings for
consideration of the detailed research
proposal (within six months of commencement),
annual progress reports and the
Mid-term Review of Progress, and
for ensuring that any off-campus
supervisors and advisors are informed
of their responsibilities. The chair
of the supervisory panel has the
primary responsibility for the supervisory
roles included below:
2.1
Rules, Guidelines, Codes and Costs
2.1.1
becoming familiar with the Rules
for the degrees of PhD or professional
research doctorate, the Guidelines
for the Responsible Practice of
Research, the Guidelines for Supervision,
the Policy on Minimum Allocation
of Resources for Full Time Research
Students, and the Intellectual Property
Guidelines;
2.1.2
before the candidate begins the
research program, informing the
Head of Department and Prescribed
Authority of the likely total cost
of the program and the candidate's
annual maintenance needs, fieldwork
requirements and access to special
equipment if these are likely to
exceed the normal range of postgraduate
research costs in the area;
2.2
Commencement of Candidature
2.2.1
advising on and discussing with
the candidate at the commencement
of candidature the
aims, scope and presentation of
the thesis, and any orientation,
required course work or supplementary
training necessary for the research
project;
2.2.2
clarifying the candidate's and the
supervisor's respective expectations
of supervision and of the operation
of the supervisory panel. On the
basis of this discussion the chair
of the supervisory panel and candidate
should establish guidelines and
expectations pertaining to :
·
frequency of contact with supervisors
and other panel members (normally
not less than once a month with
supervisors), recognising that there
are different needs at different
thesis stages,
·
monitoring, evaluation and reporting
of progress within a three year
timetable (as required by Degree
Rule 20),
·
provision of necessary material
resources to complete the thesis,
including fieldwork or other research
travel support,
·
orientation, learning support, prescribed
course work, training courses, and
conference support as required,
·
the nature of any directed reading
program required,
·
strategies for contact with and
introductions to other researchers
in related areas, including external
agency, industry, or other institutional
links;
2.2.3
advising and negotiating with
the candidate at the commencement
or during the course of candidature,
in respect of any publication
or joint publication likely
to arise during or on the basis
of the research project, appropriate
and adequate recognition of the
candidate's and the supervisor's
contribution to the publication;
2.2.4
advising the candidate on health
and safety working practices relevant
to the field of research (including
the occupational strains hazard),
the ethical practices appropriate
to the discipline (including Human
Research and/or Animal Experimentation
Ethics requirements), requirements
regarding the retention of primary
data, and the University's Guidelines
relating to Intellectual Property
in relation to the research;
2.2.5
if the research is funded by a contractual
arrangement, discussing with the
candidate 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.
Any restrictions, e.g. confidentiality
agreements, must be consistent with
the Degree Rules and related papers.
When restrictions upon disclosure
exist, the candidate is advised
to seek independent legal advice,
and the discussion should culminate
in a written agreement on the conditions
of disclosure;
2.2.6
identifying any English-as-a-second-language
candidate who needs assistance in
communicating orally or in writing
in English using the vocabulary
and conventions of the discipline,
in the first and any subsequent
semester of enrolment, advising
the candidate in writing of the
need for this assistance, and referring
the candidate for appropriate academic
skills assistance;
2.2.7
assisting the candidate to prepare
a provisional three year research
plan and research timetable,
including any proposed fieldwork,
as the basis for a program
of study for submission to the Prescribed
Authority for approval not later
than six months after the candidate's
enrolment.
2.3
Candidature
2.3.1
initiating and holding frequent
and adequate discussions with
the candidate on the candidate's
research program. Supervisor and
candidate are jointly responsible
for initiating such discussions;
and there should normally be contact
between the supervisor and the candidate
at least once each month even if
a formal meeting is not always possible.
Contact should be maintained during
any period of fieldwork;
2.3.2
ensuring that any major decisions
about the candidate's research program
made in conversation between the
supervisor and the candidate, or
any major variations to agreed expectations
and guidelines, are confirmed
in writing and a copy given to the
candidate, and to any other supervisor
or advisor, and noted in
the annual progress report;
2.3.3
encouraging and ensuring that the
candidate is actively engaged in
the research course in a manner
likely to produce significant results
by the time of the annual report,
by the Mid-term Review, and by the
time the thesis is due to be submitted,
or advising the candidate in writing
that progress is unsatisfactory
and identifying improvements necessary
for continuation of candidature;
2.3.4
encouraging and ensuring that the
candidate participates in the intellectual
activity of the department or area
through activities such as attendance
and presentations at departmental
seminars and conferences;
2.3.5
requiring written work from the
student on a pre-arranged and agreed
schedule, reviewing drafts
of submissions for and participating
in the Mid-term Review, commenting
critically to the candidate on the
Mid-term Review presentation, reviewing
drafts of the thesis and providing
written and/or verbal comments within
a mutually agreed period (not exceeding
one month from time of submission),
and providing written and/or verbal
comments on the completed thesis
before it is submitted for examination;
2.3.6
submitting to the Head of Department,
Graduate Program Convenor and Prescribed
Authority each year an annual report
on the progress of the candidate,
noting any significant achievements,
difficulties and problems discussed
with the student, including inadequate
progress if applicable, and the
action taken or advice given. A
supervisor who considers that a
candidate has failed to pursue the
course satisfactorily or has not
observed the Degree Rules shall
report accordingly to the Prescribed
Authority;
2.3.7
advising the student about any plans
for extended supervisor’s absence
from the University (e.g. on study
leave, long service leave) during
the candidature and the proposed
arrangements for supervision during
this absence, where possible with
at least six month's notice and
preferably on enrolment;
2.3.8
facilitating contact between the
student and other researchers in
related areas, including external
agency, industry, or other institutional
links;
2.3.9
in consultation with the Head of
Department, and after giving the
candidate an opportunity to comment
on possible examiners for the thesis,
nominating examiners to the Graduate
Program Convenor and Prescribed
Authority, for approval by the Chair
of the Graduate Degrees Committee
normally at least two months before
the thesis is due to be submitted;
2.3.10
in consultation with the Head of
Department, advising the candidate
on any examiners’ recommendations
for amendments to the thesis, and
if nominated as the ‘appropriate
person’ under Rule 23B 1(a), advising
the candidate during the revision
process for re-submission and re-examination;
2.3.11
advising the candidate on post-doctoral
research, visiting fellow appointments
or other career options, and on
any prospective publications arising
from the final thesis.
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RESPONSIBILITIES
OF ADVISORS
The
responsibilities of the advisor(s)
include:
3.1
providing additional expertise on
the research topic or related subjects;
3.2
providing wider contacts within
the University or outside;
3.3
providing advice on the research
proposal and the Mid-term Review
presentation;
3.4
at the request of the candidate,
advising on any matter relating
to the candidate’s course, including
advice on any difficulties in the
relationship between the candidate
and the supervisor(s) or other advisors.
4
RESPONSIBILITIES OF CANDIDATES
The
responsibilities of the candidate
include:
4.1
becoming familiar with the Rules
for the degrees of PhD or professional
research doctorate, the Guidelines
for the Responsible Practice of
Research, the Guidelines for Supervision,
and the Intellectual Property Guidelines;
4.2
initiating (when required) and participating
in frequent and adequate discussions
with the supervisor(s) on the research
program. Supervisors and candidates
are jointly responsible for initiating
such discussions, and there should
normally be contact between the
supervisor(s) and the candidate
at least once a month even if a
formal meeting is not always possible.
Contact should be maintained during
any period of fieldwork;
4.3
clarification of the candidate's
and the supervisor's expectations
of supervision and of the operation
of the supervisory panel. On the
basis of this discussion the chair
of the supervisory panel and candidate
should establish guidelines and
expectations pertaining to:
·
frequency of contact (not less than
once a month with supervisors) recognising
that there are different needs at
different thesis stages,
·
monitoring, evaluation and reporting
of progress within a 3 year timetable,
·
provision of necessary material
resources,
·
orientation, learning support, graduate
course work and training courses,
as required, including necessary
communication skills assistance
for English-as-a-second-language
candidates,
·
strategies for contact with other
researchers in related areas;
4.4
in consultation with the supervisor,
preparing a research plan and
research timetable as the basis
for a three year program
of study, including any proposed
fieldwork, for submission to the
Prescribed Authority for approval
not later than six months after
the candidate's enrolment;
4.5
submitting written work to the supervisor
in accordance with a pre-arranged
and agreed schedule, actively
engaging in the research course
in a manner likely to produce significant
results by the time of the annual
progress report, by the Mid-term
Review and by the time the thesis
is due to be submitted;
4.6
participating in the intellectual
life of the department/area through
activities such as attendance and
presentations at departmental seminars
and conferences;
4.7
if a full-time candidate, devoting
at least 40 hours per week on
average to the research course during
enrolment, with the exception of
approved recreation leave; if a
part-time candidate, devoting at
least 20 hours per week on average
to the research course during enrolment;
4.8
reporting to the supervisor and
Prescribed Authority any significant
change in other commitments likely
to affect the progress of the research
course, or any proposed period of
suspension of candidature or attendance
at another institution;
4.9
submitting to the chair of the supervisory
panel each year a progress report,
for consideration by the Head of
Department, Graduate Program Convenor
and Prescribed Authority;
4.10
submitting a Mid-term Review of
Progress as specified in the procedures
approved for the School, Faculty
or Centre;
4.11
acquiring 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 at
all times;
4.12
negotiating with the supervisor(s)
at the commencement or during the
course of candidature in respect
of any publication or joint publication
likely to arise during or on the
basis of the research project, to
ensure appropriate and adequate
recognition of the candidate's and
the supervisor's contribution to
the publication;
4.13
submitting to the Research and Scholarships
Office notice of intention to submit
and providing the final title of
the thesis, with an abstract of
approximately 250-500 words describing
its content, at least two months
before the expected submission;
4.14
producing the final copies of the
thesis for the examiners, and ensuring
that its content and standard of
presentation is in accordance with
University requirements.
5
RESPONSIBILITIES OF THE GRADUATE
PROGRAM CONVENOR
The
responsibilities of the Graduate
Program Convenor include:
5.1
informing new students of Graduate
Program activities and resources
as part of Graduate Program induction;
5.2
ensuring that appropriate arrangements
are made for supervision of Program
candidates;
5.3
organising and/or supervising Graduate
Program seminars and/or courses,
workshops, summer schools and conferences
on behalf of the Graduate Program
Board of Studies;
5.4
monitoring the academic progress
of Graduate Program research students,
including formal comments on annual
progress reports and involvement
in the Mid-term Review of progress;
5.5
ensuring that appropriate arrangements
are made for examination of research
theses, and commenting on thesis
examination reports and Head of
Department recommendations;
5.6
providing or arranging pastoral
support for Graduate Program students,
in particular where problems may
arise between students and supervisors
or Heads of Department;
5.7
organising student elections for
representation on the Graduate Program
Board of Studies;
5.8
convening meetings of the Graduate
Program Board of Studies, which
develops initiatives for enhancing
the quality of postgraduate supervision
in the Program, and plans Program
activities;
5.9
undertaking additional Graduate
Program work, including recruitment
of Graduate Program students on
behalf of the Program, and organisation
and coordination of selection and
assessment procedures for graduate
student applications for admission
and scholarships to the Program.
6
RESPONSIBILITIES OF THE PRESCRIBED
AUTHORITY AND HEAD OF DEPARTMENT
The
Prescribed Authority is normally
the Director of a School, Dean of
a Faculty or Head of a Centre.
The
responsibilities of the Prescribed
Authority are normally exercised
in association with
the Head of Department, and
include ensuring that:
6.1
the student meets the requirements
set down by the University for admission
to candidature, including in the
case of applicants from non-English
speaking backgrounds, at least the
prescribed minimum English language
proficiency;
6.2
the proposed research project is
appropriate for the degree and can
be completed within a three year
course, as required by Degree Rule
20;
6.3
the proposed supervisor is sufficiently
expert in the area of research,
and has the time and supervisory
capacity to be able to offer the
student appropriate supervision;
6.4
appropriate supervision can be provided
and maintained throughout the research
period;
6.5
appropriate resources (including
fieldwork funds) and physical facilities
can be provided and maintained throughout
the research period, in accordance
with the Policy on Minimum Allocation
of Resources for Full Time Research
Students;
6.6
appropriate opportunities are provided,
by way of seminars and the like,
for students to develop their skills
at presenting their work as well
as facilitating related social skills
such as team work, and students
are encouraged to participate in
other appropriate training activities,
such as training workshops on safety
and health procedures, offered within
the University;
6.7
each candidate has written guidelines
concerning School, Faculty or Centre
postgraduate policies and procedures,
including resource allocation;
6.8
each candidate is provided with
School, Faculty, or Centre Induction
in the first semester of candidature,
to clarify procedures and policies,
and to discuss the expectations
of candidates and staff;
6.9
mediation takes place when there
are problems between student and
supervisory panel members, and panel
changes are authorised when appropriate;
6.10
supervisors are encouraged to participate
in supervision training activities
provided within the University;
6.11
the School, Faculty or Centre
provides conference travel support
for eligible research students during
their period of candidature, subject
to the availability of funds;
6.12
the academic progress of School,
Faculty or Centre research students
is monitored, including formal comments
on annual progress reports and involvement
in the Mid-term Review of progress;
6.13
the School, Faculty, or Centre administration
maintains the capacity to provide
efficient and effective local administration
for candidates, and provides helpful
advice to these candidates;
6.14
appropriate arrangements are made
for examination of research theses,
and appropriate comments are made
on thesis examination reports and
Head of Department recommendations;
6.15
an ‘appropriate person’ is nominated
under Rule 23B 1(a) to advise a
candidate during the revision process
for re-submission and re-examination.
RESPONSIBILITIES
OF THE DEAN OF THE GRADUATE SCHOOL
The
responsibilities of the Dean of
the Graduate School include:
7.1
ensuring that each candidate is
provided with access to a Graduate
School Research Student Induction
program in first or second semester,
to clarify University procedures
and policies, and to review the
expectations of new candidates and
staff;
7.2
providing or arranging pastoral
support for Graduate Program students
on request, in particular where
problems arise between students
and supervisors, Heads of Department,
Graduate Program Convenors or Prescribed
Authorities;
7.3
supporting and monitoring the operation
of Graduate Program Boards of Studies
and Graduate Program Convenors in
enhancing the quality of supervision
and Program activities for research
students;
7.4
allocating funds to Graduate Program
Convenors to enhance the research
experience of graduate students;
7.5
encouraging supervisors to participate
in supervision training activities
provided within the University through
CEDAM and the Graduate School;
7.6
ensuring that appropriate arrangements
are made for examination of research
theses, and reviewing thesis examination
reports and Head of Department,
Graduate Program Convenor and Prescribed
Authority recommendations;
7.7
chairing the Graduate Degrees Committee,
a joint committee of the two academic
Boards, to facilitate the development
and review of University policies
for postgraduate research and consideration
of individual student cases where
appropriate, with regular consultation
with student representatives, for
the attention of the Boards;
7.8
chairing a Grievance Resolution
Panel when a graduate student initiates
action under the Grievance Procedures
for Graduate Students;
7.9
fostering postgraduate research
within the University, and providing
relevant advice to Directors, Deans
and Heads, and to the Boards.
8
RESPONSIBILITIES OF THE UNIVERSITY
The
responsibilities of the University
include ensuring that:
8.1
there are clearly specified entry
standards and procedures regardless
of discipline, and that these standards
and procedures are documented and
applied equitably;
8.2
each candidate is advised of guidelines
concerning University policies and
procedures relating to postgraduate
students, including health and safety,
research ethics, intellectual property,
minimum resources, equal opportunity
and equity, and grievances and appeals;
8.3
each candidate is advised of the
entitlement for access to University
facilities and resources, including
the University Library and educational
service facilities such as the Careers
and Employment Centre, the Counselling
Centre, the Dean of Students, the
Disability Support Unit, the Health
Service, the Student Welfare Office
and the Study Skills Centre;
8.4
there are reporting and review requirements,
advised to the candidate, via at
a minimum an annual Progress Report
to be completed by the student,
chair of the supervisory panel,
Head of Department, Graduate Program
Convenor and Prescribed Authority,
monitored by the School/Faculty/Centre
administration and by the Research
and Scholarships Office; and via
a Mid-term Review of Progress for
PhD candidates carried out by the
supervisor and supervisory panel
in association with the Graduate
Program Convenor and Head of Department;
8.5
there are explicit grievance procedures
by which either the student or supervisor/advisor
may proceed to resolve difficulties;
8.6
there are explicit procedures for
the examination process, including
an appeals procedure against decisions
by the Graduate Degrees Committee;
8.7
the Research and Scholarships Office
maintains the capacity to administer
higher research degree candidature
efficiently and effectively across
the University, and provides helpful
advice to all research students.
Council
10/12/99
10 December 1999
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