Graduate School - Research Degrees Code of Practice

Section 3 - Supervision

The supervisory relationship is key to the success of a research degree. This section sets out good practice in establishing and managing the relationship.

1. Composition of supervisory team
2. Training for supervisors
3. The Supervisory Relationship - general expectations
4. The Supervisory Relationship - academic progress
5. Supervisors' responsibilities - practicalities
6. Non-resident and off-campus students
7. Resolving difficulties
8. Use of external supervisors
9. Summary of roles and responsibilities

1. Composition of supervisory team

1.1 The minimum supervisory team is one Director of Studies and one second supervisor. Often there will be two second supervisors. In addition, one or more advisers may be attached to the team. The purpose of additional team members is to provide support for the student in the absence of the Director of Studies and to give access to a wider range of expertise, especially in specific topics or methods of research.

1.2 The Director of Studies (DoS) is the key contact for all administrative matters. The DoS is required to liaise on the student’s behalf with the relevant University committees; to liaise with the Dean of School and support departments to ensure the student has access to resources and facilities; and to advise the student on regulations. The DoS has primary responsibility for monitoring the student’s progress and identifying when further support is needed. Normally the DoS will take the lead role in guiding the academic direction of the project, but this may vary depending on the make up of the team.

1.3 Second supervisors have less formal responsibility for the student but are required to stand in for the DoS in his or her absence. If the second supervisor(s) become aware that the DoS is likely to be absent for a long period of time (eg through illness) they should contact the Dean of School and the student to make sure alternative supervision arrangements are in place. Similarly, if a second supervisor is likely to be absent for a long period of time the DoS should ensure adequate alternative arrangements are made.

1.4 The major part of the second supervisor’s role is to provide advice as required, to read draft work and give feedback. It is the student’s responsibility to set up appointments with second supervisors and proactively gain their input. Second supervisors should be consulted about any decisions affecting the student’s progress. It is important to keep second supervisors involved so they are in a position to maintain continuity of support whenever the DoS is absent.

1.5 Advisers are appointed only for their input on specific areas of expertise. They do not form part of the formal supervisory team and have no responsibility for progress. They do not read draft work.

1.6 The DoS will normally be a member of QMU staff. This is because an important part of the role is to liaise with University committees and staff on the student’s behalf and it is easier for somebody who is on the premises to do this. If a DoS leaves the employment of QMU after the student has submitted he or she will normally retain the role until completion. If the DoS leaves prior to submission of the thesis, normally a second supervisor will take on the role of DoS for administrative purposes, although the previous DoS will retain primary responsibility for academic advice.

1.7 Normally no more than one member of the team will be external to QMU. However, if second supervisors leave QMU employment during the course of the student’s studies, it may be preferable to retain the same team if their new circumstances allow them to continue to act as supervisors.

1.8 The DoS should have been involved in the supervision of a previous research degree candidate to successful completion. If the DoS has no completions there must be at least one person in the team with two or more completions. It is recommended that where possible the staff member with more experience takes on the role of DoS, as this requires an understanding of regulations and involves primary responsibility for formal processes such as managing progress and dealing with unexpected difficulties. The staff member with more subject specific knowledge can act as second supervisor, taking responsibility for the academic direction of the project rather than the more managerial aspects.

1.9 Where a relatively inexperienced member of staff is the DoS, with a more experienced person acting as second supervisor, it is essential that the second supervisor is kept fully involved in management of the student’s progress. This allows the more experienced staff member to advise the DoS appropriately.

1.10 When a student is admitted a provisional Director of Studies is appointed. The University should not admit any student to a research degree programme if not satisfied that suitable provision can be provided. Second supervisors will be discussed by the DoS and Dean of School once it becomes apparent what the research project will involve. For instance, if the student decides to focus on a particular aspect of the topic it may be essential to identify a second supervisor with expertise in that area. The full supervisory team is appointed when the outline proposal and suggested supervisors are confirmed by the School Academic Board.

1.11 Once the supervisory team has been agreed it is important that the full team meets to discuss the project and their respective roles. Ideally, the team should agree who will lead on different aspects of the project, the number of meetings to expect and timescales for reading drafts and providing feedback. It may be useful to consider whether one member is likely to take on a more pastoral role in relation to non-academic support. Ownership of the project direction should also be discussed. For instance, do the team agree that the student should define the project with the supervisors merely acting as critical friends? Or do they expect to define the parameters of the project with the student having less autonomy? (See also section 3 below.)

1.12 It is recommended that meetings between the student and the full supervisory team are held at least once a year. The frequency of such meetings will depend on the location of the supervisors and the student, and the needs of the student. It is particularly important that the full team should meet to review progress at key stages such as probation and preparation for submission.

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2 Training for supervisors

2.1 The Centre for Academic Practice organises training workshops for research supervisors. Any member of staff new to supervision is advised to attend. More experienced supervisors are also encouraged to attend these sessions from time to time to update themselves.

2.2 It may be appropriate for a School Academic Board to require attendance at a supervision workshop as a condition of approval of a supervisory team.

2.3 Directors of Studies must familiarise themselves with the regulations. The most recent version of the regulations can be found on the Quality website:

http://www.qmu.ac.uk/quality/rs/default.htm

The full regulations or a summary version can be obtained from the Quality Enhancement Unit.

2.4 Where possible, staff without supervision experience should be encouraged to develop their skills by acting as second supervisor to a more experienced researcher. It is important that second supervisors in this situation should be fully involved in the supervision process in order to maximise the opportunities for learning.

2.5 There are a number of useful resources in the LRC regarding PhD supervision. Some suggested titles are listed below.

Resources:

• Taylor, S. and Beasley, N. 2005 A Handbook for Doctoral Supervisors Routledge, Abingdon
• Phillips, EM. and Pugh, D.S. 2005 How to get a PhD: a handbook for students and their supervisors (4th ed) Maidenhead, Open University Press
• Wisker, G. 2005 The Good Supervisor Basingstoke, Palgrave Macmillan
• Eley, A.R. 2005 Effective postgraduate supervision: improving the student/supervisor relationship Maidenhead, Open University Press

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3 The Supervisory Relationship – general expectations

3.1 Students should meet their DoS regularly throughout the prescribed period of study. Meetings may take place in person, by video or telephone conference or other electronic means, depending on the location of the student. It is recommended that full-time students should have some form of meeting with their DoS at least once a month (on average). A part-time student should have contact with his or her DoS every two months. However, the frequency of meetings will need to be greater at the beginning and end of the student’s programme.

3.2 Records must be kept of all formal meetings. (Formal meetings are defined as meetings which are scheduled in advance.) It is recommended that the student writes up notes of the meeting, paying particular attention to agreed action points. The notes should be sent to the DoS for confirmation. These records will form an essential resource allowing the student and supervisory team to review progress and ensure actions are being followed up.

3.3 Students and supervisors may also meet on an unplanned basis. If such meetings result in an agreed action point or if important matters are discussed, the supervisor and student should exchange emails afterwards to confirm the substantive points. It is expected that there will be regular email correspondence between meetings and supervisors should keep emails for future reference.

3.4 It is good practice for the student and supervisors to discuss their expectations of the supervisory relationship early on. In particular, attention should be given to:

• Frequency of meetings
• Communication arrangements
• Responsibility for arranging meetings
• Timetable of written work to be produced by the student
• Turnaround time for feedback on written work

3.5 Supervisors will normally return feedback on draft work within three working weeks. However, students should be aware that at some times of year (for instance, the assessment period) this timescale may not be practical. Similarly, a longer period should be allowed for review of substantial pieces of work, especially the draft thesis. It is important that students should warn supervisors of their intention to submit work for comment, so that the supervisor can set aside time accordingly. Agreeing a timetable for draft chapters to come in will help both student and supervisor to plan their workload.

3.6 There is no set limit on the number of times students may submit the thesis (or sections thereof) for comment. It is recognised that students may need more feedback in the early stages of their degree and in such cases it may be appropriate for more than one iteration of the work to be viewed by the supervisors. Normally, however, students should not need feedback on the same material more than once.

3.7 Students and supervisors are also advised to discuss intellectual ownership of the project at an early stage. In some cases, the project will have been designed by the DoS (perhaps as part of a research grant) and the student will have less autonomy. In other cases, the project may stem from the student’s own initiative. In all cases, it is expected that the student will assume more control of the work as time goes on. If the supervisors are expecting the student to make more of an intellectual contribution to the project direction, it is important to let the student know this, as he or she may feel diffident about putting forward ideas in the presence of more experienced researchers. Equally, if the student was expecting to have greater freedom than the supervisors are in a position to give, it is important to address this as soon as possible.

3.8 Supervisors should be alert to the differences between individual students. An approach which has worked with other students in the past may not be appropriate to the current student. People from different countries, for instance, will have experienced different educational cultures which may alter their view of how the supervisory relationship should work. Open dialogue between the student and supervisor can help to resolve any mismatch in expectations.

3.9 Some students may find it helpful to use some form of e-portfolio as a means of keeping the supervisory team informed of progress. This option should be discussed with the student.

3.10 Supervisors should keep each other and the student informed of any planned periods of absence (eg annual leave or trips abroad). This allows the student to plan ahead and arrange supervisory meetings or submit draft work for comment at suitable times. Ideally, there should always be one member of the team contactable by email.

3.11 The Director of Studies has a number of administrative responsibilities. Any paperwork that needs to be submitted to University committees should be submitted by the Director of Studies, who will be expected to advise the student on committee approval procedures.

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4 The Supervisory Relationship – academic progress

4.1 The first thing the student has to do is plan the research project and complete an outline proposal. The outline proposal should contain enough detail to establish what methods of investigation will be employed, and therefore what resources will be required, including the specific blend of expertise needed in the supervisory team. It is accepted that it is not possible to have a detailed plan at this early stage and that initial ideas may need to be modified once research starts. However, it is important to plan for any unusual resource demands as early as possible.

4.2 Planning a research project of this scale is not easy and students will normally require considerable input from the supervisory team. Some common pitfalls to avoid include:

• Over-ambition - it is not unusual for students to start with a very broad set of research objectives which need to be pruned down to a manageable research question. Supervisors should take care not to force the student to focus on the elements which most interest them at the expense of the elements which most interest the student.

• Unrealistic timescales - students often under-estimate the amount of work involved in data collection and fail to appreciate the difficulties of accessing participants, setting up meetings and recording data. Supervisors can usefully draw on their own experience of similar projects to advise the student about what to expect.
• Lack of data management skills – students may need support in developing practical skills such as recording and filing results, keeping lists of contacts, diary management, making the best use of reading and managing references. Supervisors should take steps to find out what level of skills the student has and help them to address any gaps.
• Problems with collaborators – many projects rely upon co-operation with another organisation, for instance an NHS Board or another University. It is essential that clear statements of support be obtained at an early stage so that the student knows whether or not he or she can definitely do what is planned.

4.3 Where a research student is working as a research assistant on a project under the direction of a Principal Investigator, particular care needs to be taken to ensure that the project undertaken by the student plausibly leads to the assessed outcomes of the degree for which they are registered. For a PhD in particular, the student is required to demonstrate an ability to operate as an independent researcher and make an original contribution to knowledge. Therefore the student must be given some independence in terms of planning and executing the project and the distinction between the student’s contribution and that of the Principal Investigator needs to be made clear.

4.4 It is advisable that consideration be given to ethical issues at an early stage. Supervisors may wish to use the prompt questions on the ethical approval form to make sure the student has thought about all the possible risks to both the participants and the researcher. Supervisors should not countersign the ethical approval application form unless they are happy that the application is sound. It will cause unnecessary delay if the student has to resubmit a poorly explained application. See Section II Good Research Practice for more information about ethics.

4.5 The planning stage can feel very frustrating for students. Supervisors should encourage students to submit interim pieces of writing during this period. These could take the forms of drafts of early chapters of the thesis, such as the introduction and literature review. This will allow the student to have tangible evidence of achievement that can be used towards the final thesis. It also allows the supervisors to assess the student’s writing skills and address any potential problems early.

4.6 Supervisors should be particularly alert to poor referencing or plagiarism so that the student can learn to avoid poor academic practice in the future.

4.7 In advising students on written work, supervisors may make comments or ask questions, but should avoid suggesting alternative text (except when to correct errors of English or grammar). All work put forward for assessment (whether for the probationary assessment or the final examination) must be in the student’s own words.

4.8 The first formal assessment for students is the probationary assessment. This normally takes the form of a research proposal of about 5000 words. It is assessed by a panel of three experienced researchers. Often, the assessors will not be subject experts. This means the written assignment should explain the project and choice of investigative methods in terms that a non-expert would understand. (See Section IV Progress for more detail)

4.9 Many students prefer to have one of their supervisory team attend the probationary viva as an observer. The observer may not speak unless addressed directly by the assessors. His or her role is to listen to the discussion and make notes on behalf of the student. The observer can also offer helpful feedback to the student on their performance.

4.10 The probationary assessors may make comments or suggestions regarding the project design but cannot force the student to make changes. However, the student and supervisory team should consider the assessors’ advice carefully as it often takes an outsider’s perspective to notice a potential flaw in the project design.

4.11 If, following the grant of ethical approval, any significant changes are made to the project design, the Secretary to the Research Ethics Committee must be consulted. It may be that a further form needs to be completed to secure approval for the revised protocol.

4.12 Data collection may start before the probationary assessment has been passed. Data collection may not start before ethical approval has been granted.

4.13 After the student has passed probation, responsibility for monitoring progress lies entirely with the supervisory team. Supervisors are required to submit a brief annual report to the Quality Enhancement Unit. These reports form a useful record in the event of any problems later on so it is important that supervisors complete them honestly. For instance, if a student has experienced delays due to circumstances beyond his or her control, it is important to have a note of this, as it may be possible to offer the student a suspension of study or extension to final registration date. Equally, if there are concerns about the student’s academic ability or commitment, these need to be flagged up. Early intervention may help to resolve a problem before it becomes serious; if not, records such as annual reports will be essential in the event of an appeal or de-registration. (See section 7 below.)

4.14 If a student has been unable to study for a month or more due to extenuating circumstances, a suspension should be applied for. This has the effect of extending the student’s final registration date by the length of the suspension. Bursary students should be aware that payment of the bursary is normally stopped during the period of suspension (unless for a very short suspension). Fees are not normally recalculated, but the student is instead allowed the period of suspension free at the end of the prescribed period. For example, if a student suspends for 3 months, no continuation fee would be charged for the first 3 months of study beyond the end of the prescribed period.

4.15 Suspensions are agreed by the School Academic Board. The student must complete the form and the Director of Studies must indicate support.

4.16 If a student is unable to submit by his or final registration date an extension must be applied for. Research Councils have strongly urged universities to enforce registration periods rigorously so extensions cannot be granted lightly. Students must apply to the Research Degrees Committee, providing reasons for why the thesis will not be submitted on time and indicating a realistic timeline for completion.

4.17 It is not unusual for students to experience periods of lack of motivation in the middle of the degree. Supervisors can help by talking things over with the student, and perhaps encouraging the student to take short breaks when appropriate. It can also be useful to set short-term deadlines for tasks in order to provide milestones.

4.18 Students may find it helps their morale to attend conferences or submit papers for publication. This type of activity should be encouraged, as long as it doesn’t conflict with writing up the thesis in good time. See Section VI Training and Personal Development for more details.

4.19 Although data collection may take longer than anticipated, the period of writing up can also account for substantial delays in submitting theses. Many students underestimate the amount of re-drafting that will be required to provide a coherent, cogent and comprehensive thesis. Such difficulties are minimised if students have drafted the literature review and methods sections during the preliminary stages, although the review in particular will require updating and refining in the light of a student's own results and discussion. It is also important to update the review to incorporate recent publications in the field.

4.20 By the end of the period of study, it is normal for the student to know more about the specific topic than the supervisors do. The supervisory relationship will need to adapt to this shift in the balance of knowledge. However, the supervisor will still have a broader knowledge of the general field, and will have a clearer idea of what makes a good thesis. Supervisors therefore play a crucial role in helping the student produce a thesis that is likely to meet the standards for the award.

4.21 Students and supervisors may disagree about the final version of the thesis. Supervisors should bear in mind that it is the student who has to defend the work so he or she must have belief in the validity of the text. See Section V Examination for more detail on the process of signing the student declaration form for final submission.

4.22 All members of the supervisory team must read the complete thesis before it is submitted.

4.23 In agreeing that the thesis be submitted, the supervisors are not required to express a view as to whether or not it will pass. They are only saying that it stands a reasonable chance of success. Supervisors may feel under pressure to reassure the student about the quality of the work but it is important to remember that only the examiners’ opinion counts for the final outcome. By the same token, students should not read too much into encouraging statements from supervisors.

4.24 In the lead up to the final examination, supervisors are recommended to offer a mock viva to the student. This allows the student to prepare for the most likely questions. There are also resources available from CAP to guide students on the viva experience.

4.25 Many students, in mastering the details of their own study, become too focused and fail to appreciate that external examiners may be as interested in the wider implications of their research. A mock viva, therefore, may help them to consider how their work fits into a broader context.

4.26 The student has the option of inviting a member of the supervisory team to attend the viva as an observer. This decision is up to the student, who will know best whether they would find the presence of a supervisor supportive or distracting. The observer is required to stay silent unless specifically addressed by the examiners. An observer who speaks without being invited to do so may be ejected from the room.

4.27 The observer’s main role is to take notes of the discussion in order to advise the student afterwards. In the case of major amendments or resubmission this is particularly important, as substantial portions of the thesis may require to be rewritten or even restructured. Normally, there will be a supervisory meeting a few days after the viva in which the student and supervisors discuss how to meet the examiners’ recommendations and ensure a common understanding of what is required. It is also useful to debrief the student on his or her performance at viva.

4.28 Even if the student chooses to attend the viva without an observer, the supervisory team should be available before and after the examination for consultation and debriefing.

4.29 The process of amendments should not be treated as a formality. The supervisor’s role is not complete until the student has been formally recommended for award.

4.30 It is normal practice for the student to provide the Director of Studies with a copy of the final thesis for future reference.

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5 Supervisors’ responsibilities – practicalities

5.1 The Director of Studies plays a key role in helping the student to access resources and facilities required. When a new student starts at the University, staff of the Quality Enhancement Unit will put in motion processes to set up IT accounts, arrange for issue of Smartcards and the allocation of a desk and computer terminal. If any of the standard facilities listed under Section I Facilities and Support are not in place, the DoS should negotiate on the student’s behalf with the School Manager and / or Dean of School.

5.2 The DoS will need to liaise with the Dean of School and technical staff regarding access to laboratory facilities / specialist equipment within QMU. Students on a QMU bursary or grant-funded studentship will have a budget on which they can draw for expenses and consumables. Normally, the Dean of School will be the authorised signatory on this budget. If it is felt more practical for either the DoS or senior technician to take over that role, appropriate paperwork should be sent to Finance.

5.3 Decisions as to how the budget is used should be made by consultation between the student, DoS and Dean. For some students the expenses of data collection will be less and the budget can therefore be used to support attendance at conferences. For others, priority should be given to paying for research expenses.

5.4 Self-funding or sponsored students who are undertaking laboratory research may be charged a bench fee to cover the costs of consumables. In this case it is appropriate for the bench fee to be ring-fenced as a separate budget from which payments can be authorised. The DoS should discuss with Finance the best way to set this up.

5.5 In cases where a student wishes to use facilities outside the University it is normal for the student to take responsibility for contacting the relevant organisations. The DoS may provide a letter of support as appropriate.

5.6 The DoS should also assist the student in accessing necessary training. (See Section VI Training and Personal Development). If the student is to access Masters level modules offered by the University, the DoS should speak to the module co-ordinator and arrange for module registration via the School Office. If an off-campus student wishes to access the Research Skills Training programme, the Research Support Lecturer in CAP must be informed.

5.7 Occasionally it may be appropriate for the student to access training from outside the University. The DoS should discuss this with the Dean, who is responsible for deciding whether to authorise financial support from a relevant budget.

5.8 The DoS has general responsibilities in terms of supporting the student’s career development. Depending on the direction the student hopes to take after graduation, the DoS may be able to support the student in a number of ways:

• Inviting the student to research seminars
• Introducing the student to key contacts in the profession
• Encouraging the student to submit papers and abstracts to conferences or journals
• Co-publishing with the student
• Encouraging the student to become involved in activities such as teaching, conference organisation, systematic audits or literature reviews

5.9 Bursary students are required to undertake a certain number of hours of School duties (as stated in the bursary contract). The nature of these duties can be negotiated in order to provide the best career development for the student. The DoS should consult with the student and Dean of School / Head of Subject to agree a set of activities suitable to the individual student. A record of the hours worked must be kept in the School Office.

5.10 Students often take on part-time jobs. While each student will need to decide what level of workload he or she can manage, it is recommended that full-time students work no more than 12 hours a week additionally to the PhD. Schools may offer part-time work to students but should be mindful of the danger of distracting the student from the project.

5.11 Students may wish to use the electronic portfolio and personal development plan facilities offered by the University. It would be useful for the DoS to discuss the PDP with the student and make suggestions as to how to meet goals where appropriate.

5.12 The DoS is not the student’s line manager. However, it is important to keep an eye on the student’s attendance. If a student falls behind with study it is crucial to intervene as early as possible before the problem becomes serious. The University also has particular legal responsibilities in terms of checking the attendance of overseas students. For this reason, students must inform the DoS when they are going on holiday. It is sensible for students and supervisors to discuss holiday timings in advance.

5.13 A full-time student is expected to devote approximately 35 hours a week (on average) to his or her study. There is no set expectation as to how much time the student should spend on campus as this varies depending on individual circumstances. At least one day on campus per week is recommended to allow students to participate in other activities and engage with the wider research culture of the University.

5.14 Full-time students should normally be in contact with their DoS at least once a month. However, it is normal for informal contact by phone and email to take place regularly in between meetings.

5.15 If a DoS has no contact with the student for four weeks, without any prior reason being stated (eg holiday, fieldwork), he or she should first check whether any of the other supervisors have had contact, or are aware of the reason for lack of activity. If there is no known reason for absence, the DoS should contact the student to ask for an explanation.

5.16 The student’s absence may be due to ill-health or personal circumstances, in which case it should be discussed whether a suspension of study is appropriate. (See 4.14 above)

5.17 If the student remains out of contact with the supervisory team for six weeks, the Director of Studies should write formally to the student requesting an explanation. If no adequate explanation or reply is made the Director of Studies should refer the case to the Dean of School. The Dean of School will ask the Quality Enhancement Unit to write to the student, giving him or her one month to reply. If no satisfactory reply or explanation is provided, the Dean of School may recommend to Research Degrees Committee that the student’s registration be terminated. If the student is an overseas student on a student visa, the UK Borders Agency will be informed.

5.18 Part-time students should normally be in contact with their DoS at least once every two months (see section 6 below for off-campus students). However, it is normal for informal contact by phone and email to take place regularly in between meetings.

5.19 If a DoS has no contact with the student for two months, without any prior reason being stated (eg holiday, fieldwork), he or she should first check whether any of the other supervisors have had contact, or are aware of the reason for lack of activity. If there is no known reason for absence, the DoS should contact the student to ask for an explanation.

5.20 The student’s absence may be due to ill-health or personal circumstances, in which case it should be discussed whether a suspension of study is appropriate. (See 4.14 above)

5.21 If the student remains out of contact with the supervisory team for three months, the Director of Studies should write formally to the student requesting an explanation. If no adequate explanation or reply is made the Director of Studies should refer the case to the Dean of School. The Dean of School will ask the Quality Enhancement Unit to write to the student, giving him or her one month to reply. If no satisfactory reply or explanation is provided, the Dean of School may recommend to Research Degrees Committee that the student’s registration be terminated.

5.22 In cases where a student doesn’t drop completely out of contact but overall levels of contact are generally worrying, the concern should be dealt with as a matter of progress (see Section IV Progress).

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6 Non-resident and off-campus students

6.1 Many students will wish to register as non-resident or off-campus students. This means they will spend very little time on campus, and the bulk of supervision will be done by email and telephone. Studying off-campus may seem an attractive option for those who cannot afford to move to Edinburgh full-time and may be particularly relevant to students who want to conduct fieldwork in their own local area. However, it presents a number of difficulties and logistical issues. Most significantly, students based at a distance can feel isolated from the rest of the University. This means the student doesn’t benefit from being around other researchers and learns less than they would if on campus. It can also be detrimental to motivation.

6.2 For this reason, we recommend that off-campus students make an effort to come to Edinburgh as much as possible. Directors of Studies should try to make the most of these visits by timing them to coincide with, for instance, research seminars within the Subject Area or other networking opportunities. Supervisors should also visit the student from time to time. Travel will be paid for by the School.

6.3 Before agreeing to admit a student on a non-resident basis, the Dean must be satisfied that the criteria listed in the Research Degree Regulations are met. In particular, it is important to be clear what access the student will have to local facilities. It is also essential to be clear as to whether the student can be exempted from research methods training. If not, the student will either need to attend full-time at QMU during the first semester in order to access the training programme; or arrange to undertake an equivalent research methods module by Distance Learning. The Director of Studies is responsible for registering the student on the module to allow access to WebCT.

6.4 Regular communication is essential when studying at a distance. It is recommended that students and supervisors contact each other at least once a week. Telephone time should be scheduled for more formal supervisory meetings. Skype may be used where this is available (Thin Client does not currently support this technology).

6.5 The same care should be taken over long-distance supervisory meetings as over face-to-face meetings. Any papers to be read in advance should be provided in adequate time. An agenda is useful to clarify what the purpose of the meeting is. The student should email the supervisor after the meeting to confirm what was discussed and any agreed action points.

6.6 Students should be encouraged to make full use of the range of resources available via the remote desktop. Instructions on how to log on and the services available are provided by the LRC.

6.7 Students will need to come to QMU for their probationary assessment viva and final viva, so should plan accordingly. The dates of vivas will be arranged to suit the student’s schedule as far as is reasonable within the regulations.

Resources:

Remote access: http://www.qmu.ac.uk/it/Remote_Access/default.htm

Library support for DL: http://www.qmu.ac.uk/lb/IFDL_Home.htm

Advice on DL supervision: http://www.gg.rhul.ac.uk/ict4d/distance-based%20PhDs.pdf

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7 Resolving difficulties

7.1 The supervisory relationship is intense and problems may arise. Students are encouraged to make use of other members of the supervisory team to discuss any difficulties with an individual supervisor, as they may be able to intervene informally to help.

7.2 If the matter cannot be resolved within the supervisory team, the Head of Subject should be consulted. If the student is still dissatisfied the matter may be raised with the Dean of School. The Dean may decide to change the supervisory team if necessary. Sometimes the problem may reflect an issue with the supervisor’s overall workload which is preventing him or her from devoting sufficient time to the student, and the Dean may be able to resolve this through discussion with the supervisor.

7.3 Students may feel reluctant to approach senior staff to complain about their supervisor. An alternative option is to ask to meet with the School Research Contact or the Secretary to the Research Degrees Committee. The PhD Students Association may also be able to offer advice. It is important to raise problems early so they can be addressed before they become insurmountable. The Annual Progress Report provides an opportunity to raise any concerns confidentially and students should not be afraid to use this.

7.4 Many difficulties arise out of a mismatch of expectations about the way the supervision process should work. Sometimes these can be resolved by review of the issues listed under 3.4–3.7 above and drawing up a learning contract.

7.5 When a Director of Studies has concerns about a student’s progress this naturally leads to tension within the relationship. It is important that the student and supervisor agree that the ultimate aim is to achieve a successful result and that any criticism of student performance should be offered and taken only in the spirit of helping to achieve that aim.

7.6 The Director of Studies has pastoral responsibility, and is encouraged to be alert to emerging problems. The University provides Student Support and a Counselling Service, as detailed in the Student Handbook. Difficulties in the supervisory relationship may in fact be symptoms of underlying problems in other parts of the student’s life.

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8 Use of external supervisors

8.1 It is preferred that the Director of Studies and at least one second supervisor should be members of staff. This ensures there is nearly always somebody on the spot at the University who can be available to meet the student or who can liaise with another part of the University on the student’s behalf. However, it is not uncommon for external supervisors to be part of the team, either as part of a collaborative project or because of that person’s particular expertise. Equally, staff who leave the University may continue as supervisors if that is acceptable to the new employer.

8.2 External supervisors are not paid formally, but they are eligible for honoraria according to the following scale.

• Director of Studies (full-time student) - £250
• Director of Studies (part-time student) - £200
• Second Supervisor (full-time student) - £150
• Second Supervisor (part-time student) - £100

Honoraria are paid annually by the Quality Enhancement Unit.

8.3 Travelling expenses will normally be borne by the School.

8.4 Members of staff who have retired may be offered honorary contracts to allow them to continue to supervise students who have not yet completed. It is essential that the staff member’s email account remains open to facilitate communication. If the honorary staff member is not able to be on campus regularly serious consideration should be given to the appointment of an alternative Director of Studies to deal with administrative matters, with the retired staff member remaining on the team as Second Supervisor.

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9 Summary of roles and responsibilities

9.1 Ultimately, a research student has responsibility for his or her own work, the production of a thesis, its submission on time, and its quality. Supervisors, primarily the Director of Studies, should provide the support and guidance, expertise and experience, help and advice, criticism and encouragement necessary for their student’s development as a mature scholar capable of achieving a research degree and pursuing independent research. A Dean of School needs to ensure that the environment, in terms of facilities and supervisory resource, is conducive to the goal of a successful and timely completion.

9.2 Responsibilities of supervisors:

All members of a supervisory team [Director of Studies and Second Supervisor(s)] are individually and collectively responsible for:

• agreeing with the student a research project that forms a suitable basis for a research degree
• clarifying with the student mutual responsibilities
• giving guidance concerning the nature of research degrees and the standard expected, literature and sources, and requisite techniques
• advising on and supporting the student’s attendance at courses as appropriate, including the University’s Research Training Course
• supporting the student to prepare for probationary assessment
• maintaining contact through regular meetings with the student to discuss his or her work and keeping a written record of the occurrence of meetings
• being accessible to the student at appropriate times
• being prepared to undertake a pastoral role
• returning written work with constructive criticism and in reasonable time
• advising the student on thesis structure and providing prompt feedback on submitted chapters
• encouraging the student to present his or her work to colleagues, at seminars and / or conferences, and to offer advice on this and on publication
• offering advice on career development
• attending training workshops for supervisors run by the Centre for Academic Practice whenever possible and familiarising themselves with the regulations
• supporting the student in timely submission of the thesis
• preparing the student for the viva
• providing support during any period of amendment or revision to the thesis following examination

9.3 Responsibilities of the Director of Studies:

In addition to the responsibilities above, the Director of Studies is individually responsible for:

• ensuring that the student is appropriately inducted into the School
• consulting with the Dean of School to ensure that appropriate School facilities are available
• meeting with the student on a regular basis – within the first semester for a full-time student it is expected that meetings will be held weekly, and thereafter not less than monthly for the duration of the prescribed period of study (pro-rata for part-time students)
• ensuring that there are normally no periods in excess of three weeks during which the student cannot contact one member of the supervisory team
• arranging liaison with Second Supervisors and advisors where necessary
• arranging joint meetings of the full supervisory team with the student at least every six months for full-time students and yearly for part-time students – it is recommended that there be a joint meeting before submission of the proposal and the probationary report
• drawing up with the student a staged timetable for completion of the work and reviewing this periodically, at least once per semester and on preparation of reports
• agreeing with the student leave of absence and agreeing with the student and Dean of School appropriate teaching (or other duties) commitments
• submitting reports and / or forms to the Research Degrees Committee or School Academic Board in good time
• consulting with the supervisory team with regard to submission of reports and / or forms
• ensuring that there is clear understanding of the ethical issues relevant to the research and that ethical approval is requested in time to avoid unnecessary delay to the student’s progress
• submitting applications for suspensions or extensions (with or on behalf of the student) as soon as possible should they prove necessary
• ensuring that the student is aware of Health and Safety regulations and of any potential hazards associated with the project
• in the case of students in receipt of a bursary, alerting the Dean of School to any likelihood of resource demands for the project exceeding those originally assumed
• making every effort to ensure that the student submits his or her thesis in good time

9.4 Responsibilities of students:

The responsibilities of the student include:

• becoming familiar with the University’s regulations, the Research Degree Regulations and procedures
• agreeing a schedule of meetings with supervisors, initiating requests for additional meetings as required, and sharing responsibility for the agenda to be followed in these meetings
• attendance at the University’s Research Training Course (unless formally exempt)
• submission of assignment(s)
• ensuring that annual leave or periods of absence for fieldwork purposes and the extent of teaching and other commitments have been agreed with the Director of Studies and Dean of School
• familiarisation with Health and Safety regulations and bringing forward, for discussion with supervisors, any potential hazards
• discussing with supervisors any ethical issues associated with the research and securing ethical approval
• submitting reports and / or forms to relevant University committees in good time
• clarifying mutual expectations with the supervisors
• discussing with the supervisors the type of guidance and comment that the student finds most helpful
• taking the initiative in raising problems or difficulties relating to the work (including supervision) and discussing these with the supervisor(s) before actively seeking other advice as appropriate
• informing the supervisors as early as possible of any matter that may affect progress toward the research degree
• attaining skills and competencies appropriate to the conduct of research
• maintaining the progress of the work in accordance with the timetable agreed with supervisors including, in particular, the submission of written material as required in sufficient time to allow supervisors to provide appropriate written feedback and discussion
• keeping systematic and accurate records of all work undertaken and complying with standards of professional conduct and data protection legislation
• seeking opportunities for constructive criticism from peers and colleagues
• deciding when he or she is ready to submit the thesis taking due account of the supervisors’ opinion which is, however, advisory only
• ensuring appropriate dissemination / publication of his or her work, and ensuring that the involvement of supervisors is duly acknowledged in such activity
• making available all raw data to supervisors as requested
• providing a final bound copy and electronic copy of the thesis on completion

9.5 Responsibilities of the Dean of School:

The duties of the Dean of School are concerned with ensuring appropriate facilities, resources and supervision are in place to support the student in his or her studies. The Dean also has overall responsibility for student progress prior to final examination.

• before accepting a research student into a School, being satisfied that the applicant meets appropriate entry requirements and is suited to pursuing a research degree, and that an appropriate Director of Studies is available
• ensuring that individual members of staff who constitute the supervisory team are appropriately experienced and qualified and that supervisors are allocated sufficient time to fulfil their role satisfactorily
• being satisfied that School facilities and arrangements are in place
• being satisfied that sufficient resources are in place, or will be made available as and when required by the research student and authorising expenditure accordingly
• where research facilities or resources from outside the School are required, it is the responsibility of the Dean of the School in which the student is based to confirm the availability of these resources
• agreeing, in consultation with the Director of Studies, the extent and nature of duties to be performed as part of the bursary contract
• where relevant, reviewing reports and / or forms being submitted to the Research Degrees Committee by the research student and Director of Studies, acting upon any issues arising, and commenting as appropriate to the Research Degrees Committee
• through the School Academic Board, monitoring student progress and making decisions on changes of registration status, suspension of study or changes of supervisory team
• attempting to resolve any disagreements that may arise between supervisors or between supervisors and the research student
• in appropriate circumstances (e.g. following the departure of a member of staff from the institution or prolonged and irresolvable difficulties between supervisors and / or supervisor and student) recommending, following consultation with those involved, a change to the supervisory team
• the nomination of examiners to the Research Degrees Committee for approval

9.6 Responsibilities of the Graduate School:

The Graduate School is responsible for the over-arching research environment across the University. Duties include:

• Through the Research Degrees Committee, agreeing and reviewing the research degree regulations
• Monitoring the interpretation and implementation of the regulations to ensure consistency between Schools
• Overseeing the operation of research degrees, monitoring quality and acting as an advocate for the interests of research students within the University
• Promoting an inclusive and interdisciplinary research environment for research degree students
• Promoting collaborative sharing of resources within the University
• Promoting collaboration with external partners
• Organising probationary assessments and final examinations

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