Research supervision

When you apply to undertake a research master’s degree or a PhD, the head of department/school has to be sure you are appropriately qualified for the course of study and research you propose and must certify that there are resources and facilities within the unit to enable your candidature to be completed successfully. An important part of those necessary resources is the availability of a suitably qualified supervisor.

The supervisor

The supervisor is that member of the academic or, as appropriate, senior research staff, appointed to take primary responsibility for the conduct of the candidature. The supervisor must be available at all stages of the candidature for advice, assistance, and direction and is responsible for the progress of the candidature to the head of department/school and the faculty or college. At least one associate supervisor will also be appointed (see 'associate supervisor' below).

A principle followed in the appointment of supervisors is that the candidate should, under normal circumstances, be able to expect continuity of supervision. This means not only that some form of supervision will be available at all times throughout the candidature, but that a staff member nearing retirement, for example, will not normally be appointed as supervisor unless prepared to undertake in writing to continue the supervision beyond their retirement.

The supervisor should also ensure that an acting supervisor is appointed during her or his absence from the University for any period of a month or more, and should assist the acting supervisor by informing them about the progress of the candidature.

The role and duties of the supervisor

A postgraduate research degree is a training exercise in which the candidate acquires knowledge of research methods and experience in planning, performing and publishing research under the guidance of a supervisor. The success of that training is assessed through a thesis, which in the case of a PhD is expected to provide some evidence of originality and thereby make some significant contribution to knowledge, at least some of which is publishable.

A successful research master’s thesis will likewise demonstrate a grasp of training in research methodology but may make a less original contribution than a doctoral thesis.

The responsibility of a supervisor over the initial phase of candidature extends to ensuring that facilities identified as necessary to the success of the project are provided, encouraging the candidate to extend his or her contacts within the department/school and elsewhere within the University (and outside as appropriate), ensuring that all parties in the research project are clear about their roles and responsibilities (including associate supervisors), and establishing an agreement regarding the frequency and nature of contact, especially between the candidate and supervisor.

While application procedures normally require the drafting of a research proposal, a critical early phase of any candidature is when the supervisor assists the candidate with drawing up a detailed research plan.

The supervisor must ensure the facilities are available within the department/school or the University to enable the project to succeed and should pay particular attention to the likely timescale of the project, bearing in mind that a three-year PhD candidature should be an objective.

The supervisor should ensure the candidate is aware of the standards expected of the degree concerned and identify with the candidate the particular research skills that will need to be acquired, if necessary providing clarification of how missing skills are to be obtained. This phase is also where the most appropriate data gathering and analysing techniques are established.

An important part of research training is the completion of a project within a particular timeframe. The supervisor and candidate should agree on the contact that will be necessary between them, particularly in the first year of a PhD candidature or first semester for master’s candidatures, acknowledging that these arrangements may need periodic review. This will include some agreed indicators of progress being made and will take note of known periods of leave for all participants.

The supervisor and the candidate should monitor progress made within the context of the overall research plan. The supervisor should ensure that sufficient time is left for writing up the thesis and that, if necessary, the scope of the project is reduced to meet the time available.

The supervisor has a responsibility to provide regular and constructive feedback to the candidate and should be aware of the need to make annual progress reports both to faculty and to any scholarship authority. Such reports require the candidate to sight and sign them. That should not be the first time at which either supervisor or candidate learns of some dissatisfaction with progress. The annual progress report can be downloaded from the Graduate Studies Committee website at sydney.edu.au/ab/committees/grad_studies/grad_studies_index

As the candidature progresses, different contact arrangements may be appropriate and will need to be negotiated, ensuring that both candidate and supervisor are clear on what each expects of the other.

It is recognised that the research experience of a candidate is unique and that arrangements will need to be flexible depending on the nature of the project, the personalities of the participants, and the stage of the research. It is essential that all parties communicate their expectations and adhere to any agreements made. It is advisable that such agreements be put into writing to avoid subsequent misunderstanding.

As well as supervising the research project, the supervisor may also need to provide advice about administrative matters, and so should be aware of where to find information about degree and other administrative requirements. The supervisor should ensure that necessary approvals are sought for student absences from the University or for any variations to candidature, and that the candidate receives any due entitlements within the department/school.

As need arises, and often at the commencement of candidature, the supervisor is responsible for advising each candidate of applicable government and institutional guidelines for the conduct of research, including those covering ethical requirements for studies on human or animal subjects, and the requirements for the use of potentially hazardous agents and equipment. Information about requirements are detailed in the University of Sydney Code of Conduct for Responsible Research Practice, set out in Appendix 2.

As far as possible, research supervisors should ensure that the work submitted by candidates is the candidates own work, and where there are data, they are valid. Supervisors should ensure that candidates are aware of the requirements regarding the retention of data within the University.

Agreement should be reached also between the candidate and the supervisor concerning authorship of publications and acknowledgment of contributions during and after the candidature. There should be open and mutual recognition of the candidate’s and supervisor’s contribution on all published work arising from the project, and there are guidelines established by the University governing the submission of co-authored and published work as part of a thesis.

Before the candidate commences writing the thesis, a supervisor should be able to advise on style and layout as appropriate to the discipline, and provide prompt feedback on drafts submitted.

When the thesis is submitted the supervisor is required to certify that the thesis is acceptable for examination and that appropriate ethics clearances have been obtained. The form to be completed to confirm the suitability of the thesis for examination may be found at:
sydney.edu.au/ab/committees/PhD_award/phd_award_forms

This form must be completed by the supervisor then signed by the candidate and endorsed by both the postgraduate coordinator and where relevant the dean (or nominee) and should accompany the copies of your thesis when you lodge them for examination at your faculty office.

Difficulties of one sort or another may arise during the candidature, and supervisors should be aware of the problem-solving mechanisms and the support services which exist within the University for resolution of any issues with which they are unable to deal directly. The supervisor should also ensure that the postgraduate coordinator, head of department/school and the faculty or college are kept informed as necessary.

Associate supervisor

As well as a supervisor, the University also requires that at least one associate supervisor be appointed for every candidate. While the supervisor still bears overall responsibility for the candidature, the University recognises the value of there being available to the candidate someone other than the supervisor to whom the candidate can freely turn for advice.

The relationship between the supervisor and the associate supervisor may vary widely in relation to both the candidature and the project. The associate supervisor might have a largely custodial role, involved in the project and be able to step in to act as supervisor should the primary supervisor be unable to act, but not otherwise actively participate in the day-to-day conduct of the research.

Alternately, the associate supervisor may provide key day-to-day contact with the candidate, for example in a laboratory situation away from the campus, or impart particular expertise or additional experience to the candidate. Associate supervisors can also be appointed from outside the University, so suitably-qualified research personnel in industry or government can assist in the conduct of a research project.

What is constant, is that the supervisor bears the ultimate responsibility for the supervision of the candidate, and is the University’s immediate point of contact in all matters pertaining to the candidature. In exercising this responsibility, the supervisor will often be expected to have consulted the associate supervisor(s) but associate supervisors are generally not required to be formally involved in the reporting process.

The responsibilities of the candidate

A PhD or master’s degree is research training with an output in the form of a thesis which measures the success of that training. Your responsibilities are outlined in the codes of practice in the appendices, but are summarised below.

You as a candidate have a responsibility to make yourself aware both of the legislative requirements for the degree in which you are enrolled and the objectives of that degree. You should also make yourself aware of government and institutional guidelines for the conduct of research and ensure that through your supervisor the necessary approvals for studies on animal or human subjects (including the use of questionnaires) are obtained.

While this should be made explicit as part of your induction, it is also important to ensure that you fully understand any Occupational Health and Safety (OH&S) requirements in the handling of materials or equipment associated with your research project. Feel free to ask questions until you are comfortable with OH&S requirements.

Part of the research training you are receiving is to be able to plan and execute a project within defined time limits. A thesis should therefore be planned and carried out within a clear timeframe, under the supervision of the University.

Your degree is undertaken under supervision. The selection and appointment of your supervisor is a matter of great importance in your studies, and you should play an active part in that process. You also have a responsibility to establish with your supervisor agreed methods of working, especially the nature and frequency of contact, and then to fulfil your side of any agreement.

You must attend agreed consultations and provide evidence of the progress you are making throughout your candidature, including submission of the annual progress review form. You must also participate in such departmental/school activities as are expected, including completion of any coursework, and participation in research seminars when they are offered.

You are responsible for drawing your supervisor’s attention to difficulties you are having, either in your research or in anything that is affecting your progress. If you have problems with your supervisor you should be aware of the mechanisms that exist for resolution of problems and take advantage of them (refer to the section below on 'Satisfactory progress and resolution of problems').

Should you need to take time away from study via suspension of candidature or spend time away from the University as part of your candidature, you are responsible for obtaining departmental, school and/or faculty approvals as appropriate.

You are also responsible for ensuring:

• that all the administrative requirements of the University, such as re-enrolling each year, are met
• that you have sufficient time allocated to write up your thesis and that you have ascertained what is necessary in terms of content, style and presentation, and
• adequate notice is given to your supervisor of the expected submission date of your thesis to allow timely selection of examiners.

If you are given permission to complete your candidature on a part-time basis or spend time away from the University (conducting fieldwork, for example), it is your responsibility to maintain regular contact with your supervisor and the onus on you to provide evidence of your progress increases rather than diminishes. Problems with candidatures occur all too often in such circumstances and faculty committees tend to have little sympathy with candidates who have not maintained regular contact.

Note that you are solely responsible for the content, style and presentation of the thesis finally presented for examination, although you are strongly advised to follow the advice of your supervisory team as to whether they regard your thesis as ready for submission. Your supervisor must provide a signed statement that the thesis is suitable for examination before lodgement can take place, but they can indicate on this form that they have advised otherwise if you are determined to submit against their advice.