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Supervision
University policy on supervision
Registration of supervisors
Responsibilities of the chief supervisor
Responsibilities of co-supervisor(s)
Guidelines for Faculty/School processes relating to supervision
Guidelines for when the candidate is absent on unsupervised study or field work
Training for supervisors, convenors
Supervisor's report
UNIVERSITY POLICY ON SUPERVISION
The University is responsible for providing suitable supervision for postgraduate students' research.
Supervisors should be competent in the field and have time to supervise candidates adequately. Staff
members who accept the role of chief should do so with the expectation that they intend to remain in the
service of the University for the reasonable duration of the candidate's research if possible. There is
also an expectation that changes in supervisory panels occur only in exceptional circumstances e.g., a
major change in research topic, the resignation or redeployment of supervisors, or irreconcilable working
relationship between supervisor and candidate.
Supervision is a specialized form of teaching that is recognized by the University as being important.
Responsibilities of supervisors are clearly stated in the Handbook for Research Degrees and
accountability is expected. Chairpersons are expected to recognize this importance in workload models and
supervision should not be added to existing full workloads without compensation.
Candidates are provided with opportunities to comment
on the quality of supervision during the course of their
research and thesis preparation and
following submission of their thesis, when they are invited to complete a Postgraduate Student Completion
Survey.
Performance Review
The performance of Chairs of Department, supervisors and candidates is regularly reviewed as part of the
report on progress. All parties should be prepared to discuss performance matters at progress report
meetings. Concerns relating to performance can be raised at any time by Chairpersons of Department,
supervisors or candidates.
REGISTRATION OF SUPERVISORS
The Postgraduate Studies Office maintains a register of supervisors. These are checked before the
appointment of a supervisor is approved. Staff of the University of Waikato and also staff from other
institutions who are not already on the register as supervisors must be approved for registration by the
Postgraduate Studies Committee according to the criteria outlined below. Applications for registration
should be endorsed by the Chairperson of Department and the Dean's nominee for postgraduate studies and
accompanied by relevant documentation.
| Eligibility for supervision of theses |
| A supervisor for an MPhil candidate will |
- have had research experience in the general field of the thesis
- be a member of the permanent academic staff of The University of Waikato
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| A supervisor for a doctoral candidate will |
- have a PhD, EdD or equivalent qualification, and/or
- have experience approved by the Postgraduate Studies Committee
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be an active researcher in The University of Waikato or other research-based organization
or have recent research experience in such a setting
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(i) have undertaken formal professional development in postgraduate supervision, or (ii)
have participated in seminars and other opportunities provided by the University to
enhance their supervision of postgraduate students, or (iii) are prepared to undertake (i)
or (ii) within 6 months of the start of supervising a postgraduate student.
- NOT be enrolled for a higher degree
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| In addition to the above |
| A Chief Supervisor for a doctoral candidate will |
- have previously been co-supervisor for at least two successful doctoral candidate, or
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have been approved by the Postgraduate Studies Committee to act as a chief supervisor, in
which case the Committee will take account of such experiences as examination of doctoral
theses and the overseeing of major research projects
- be a member of the permanent academic staff of The University of Waikato
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Restrictions on Supervisors
| Staff may not supervise or convene an examination for a candidate |
- with whom they have a close family or personal relationship
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Supervision requires close interaction between the candidate and the supervisor(s). If a close
emotional or other relationship develops, which may interfere with the professional nature of
the supervision then the supervisor must initiate steps to change supervisors. The candidate may
also make such a request at any time.
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Potential supervisors who do not meet the usual criteria
The Chair of Department should provide detailed written support of a submission for a staff member to be
included in a supervisory panel, either as chief supervisor or as second or third supervisor who does not
meet the usual criteria. The application should be supported in writing by the Dean's Nominee for
postgraduate studies of the appropriate School/Faculty. The staff member may also make submissions
directly to the Committee in support of their application.
In these cases the Committee will take account of such elements as:
- supervisory experience at masters level
- successful supervision at doctoral level at another institution
- examination of doctoral theses
- oversight of major research projects
- publications and research record
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willingness and ability of the Head of Department to ensure continuing mentoring and support for
the new supervisor
Approval of staff to act as a member of a doctoral supervisory panel will include them automatically on
the Register of Supervisors (unless a specific exception is made by the Committee).
Collaborating institutions
The supervisory panel for a postgraduate candidate who is working in an external institution usually
includes at least one member of the collaborating institution's staff. The nomination of the staff member
from the collaborating institution is the responsibility of the chief supervisor, and this nomination
will require the agreement of the Postgraduate Studies Committee. It is normally expected that the chief
supervisor will be a member of the University staff. Under special circumstances, a 'process supervisor'
may be appointed from the University staff who is responsible for maintaining primary contact between the
University, the candidate, the supervisory panel and the collaborating institution.
Staff members of collaborating institutions who provide co-supervision for several university candidates
may be beneficially recognized as honorary lecturers of the University. Some honorary lecturers may be
recognized as chief supervisors.
The University expects its supervisory staff to work actively in the field of the candidate's research
and, where co-supervision is being provided by the staff of the collaborating institution, to share in
joint publications with the candidate and other co-supervisors.
Formulation of formal contractual terms and conditions for a candidate to work within an external
organization, and to receive support by way of scholarship, study award, access to facilities and other
benefits must be carried out through the
UNILink Office. Such terms and conditions will also include
agreements on publication rights, ownership of intellectual property (IP), progress reports, and
submission of theses. The candidate will normally be required to sign an agreement with the University
which sets out the rights and obligations of the candidate for the placement of contract with the
external organization and for the candidate's supervision arrangements while in the placement or contract.
RESPONSIBILITIES OF THE CHIEF SUPERVISOR
| Chief Supervisor's responsibilities: |
| Ethics |
To become familiar with, and abide by, the University's
regulations and procedures governing ethical behaviour in research.
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| Responsibilities to the Candidate |
| Initial Research Proposal |
To assist the candidate to prepare an initial research plan (in association with co-supervisors)
and to clarify the questions listed under
The Initial Research Proposal
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| Full Research Plan |
To assist the candidate to prepare a full research plan (in association with co-supervisors)
that can be completed and written up within the prescribed period of study, and to seek approval
for that proposal
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| Facilities & research activities |
To arrange for the candidate to be made familiar with the facilities and research activities of
the department and Faculty/School
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| Social & intellectual life |
To encourage the candidate to play a full part in the social and intellectual life of the
department and Faculty/School
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| 6 monthly plans |
To establish with the candidate a plan for research at the beginning of each six-monthly period,
using the pro forma approved by the Postgraduate Studies Committee as a guide, in which the work
completed, the programme of supervision and the resources required are specified
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| Contact |
As a general guideline, students working on campus should have the opportunity of discussing
their work with a supervisor, or of exchanging email messages if the student is in a remote
location, at least once per month
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| Replacement supervisor |
To arrange, in consultation with the chairperson of department and Dean's nominee, for a
replacement supervisor if the chief supervisor is absent for a period exceeding 4 weeks
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| Checking progress |
To assist the candidate by regularly checking the records of data and observations and
suggesting improvements where appropriate
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| Revising objectives |
To discuss work accomplished with the candidate and to revise the research objectives as the
work proceeds in the light of progress made and other external factors (such as unexpected
discoveries and newly published findings of other researchers)
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| Discussing progress |
To advise the candidate of concern at the earliest opportunity if the candidate falls behind
expected progress and to actively assist the candidate to improve
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| Constructive criticism & advice |
To provide constructive criticism and advice on submitted written drafts within timeframes agreed
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| Help for candidate |
To inform the candidate that he/she may approach the chairperson of department or the Dean's
nominee, as appropriate, to discuss any matters related to his/her supervision
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| Completion |
To facilitate timely completion of the candidate's study and ultimate completion of the thesis
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| Oral examination |
To support the candidate in the preparation for and at the oral examination. [Note: The chief
supervisor is not an examiner]
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| Administrative responsibilities |
| Progress reports |
To maintain a record of the progress of the candidate and to report at the end of each
six-monthly period the student's progress and experience of supervision
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| Nomination of external examiners |
To recommend to the Dean's nominee, within the required timeframe, the name(s) of external
examiner(s) after consultation with any co-supervisors and possibly the candidate
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| Other reports |
To submit to the chairperson of department and the Dean's nominee any reports about the
candidate's progress as required by University/Faculty/School procedures
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To keep a brief summary and record of the major supervision meetings (it is recognized that the
nature and timing of supervision is greatly influenced by the type of research being undertaken,
but it is important that there be a plan of supervision, and a record it)
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To advise the chairperson of department and the Deans' nominee if the candidate continues not to
meet expected progress and to seek advice on, or assistance with, action to be taken
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| Report on the thesis following submission |
Following submission of the thesis the chief supervisor must submit a written report to the
Postgraduate Studies Committee confirming that:
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the work presented in the thesis is that of the candidate and that any contribution from
another person has been properly identified by the candidate
- any factors which may have influenced the work of the candidate, along with
- any comments on the candidate's performance and the quality of the thesis.
This report is additional to the Thesis Submission Form. It is usually prepared after
consultation with, and endorsement by, any appointed co-supervisors.
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| Health & Safety |
To check that health and safety requirements are carried out in accordance with
University/Faculty/School procedures and that the candidate receives any required safety
training
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RESPONSIBILITIES OF CO-SUPERVISOR(S)
| Co-supervisor(s) responsibilities |
| Ethics |
To become familiar with, and abide by, the University's regulations and procedures governing
ethical behaviour in research
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| Enhance supervision |
To enhance the effective supervision of the candidate by contributing a second opinion or
additional area of expertise to that of the chief supervisor
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| Continuity |
To provide continuity of supervision in the event of the absence or departure of the chief
supervisor
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| Meetings |
To participate in meetings between the candidate and supervisors as appropriate |
| Assessment |
To participate in any assessment of the candidate's work |
| Replacement |
To arrange a replacement, in absences from the University exceeding 2 months, in consultation
with the chief supervisor and the Dean's nominee for postgraduate studies
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| Report |
To contribute to the chief supervisor's report to the examiners or submit a separate report if
considered necessary
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| Oral examination |
To support the candidate in the preparation for the oral examination |
GUIDELINES FOR FACULTY/SCHOOL PROCESSES RELATING TO SUPERVISION
| Faculty Responsibilities |
| Qualified to supervise |
Check that appointed supervisors are registered at the appropriate level and have copies of the
appropriate regulations, policies and guidelines for the candidate and themselves
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| Relevant research |
Ensure that the chief supervisor has undertaken research in a field relevant to the thesis and
that the supervisory panel is conversant with the appropriate methodologies and literature in
the scope of the thesis
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| Progress reports |
Require a six-monthly report on progress and any issues arising from the supervisory relationship
during the thesis project to be submitted to the chairperson of department and the Dean's
nominee for postgraduate studies according to University requirements
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| Outside support |
Provide for a person outside the department (usually the Dean's nominee for postgraduate
studies) to be available to the candidate if he/she has problems that cannot be discussed with
the supervisor(s), and have a documented process for disputes resolution
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GUIDELINES FOR WHEN THE CANDIDATE IS ABSENT ON UNSUPERVISED STUDY OR FIELD WORK
There are situations when candidates who are based in the University may be absent from the campus for
extended periods of time, for example, when involved in field work or study in libraries, museums,
archives etc. For further information please refer to this page.
TRAINING FOR SUPERVISORS
The University expects that those staff who supervise research degrees will
- Undertake formal professional development in postgraduate supervision, or
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Participate in seminars and other opportunities provided by the University to enhance their
practices of supervision of postgraduate students
The University encourages the sharing of best practice in supervision. Such opportunities may be provided
for supervisors within departments or within a faculty / school. Other opportunities on a university-wide
basis; are developed and co-ordinated by either the Postgraduate Studies and Scholarships Office or the
Teaching and Learning Development Unit, and may also provide for the sharing of expertise from other
universities or organisations whose experiences are pertinent to postgraduate supervision. The oversight
of all such training programmes is a responsibility of the Postgraduate Studies Committee. Members of
that Committee may themselves contribute to formal training sessions, but also identify training needs of
supervisors in the faculty/school they represent.
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