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
A supervisor for a doctoral candidate will	have a PhD, EdD or equivalent qualification, and/or have experience approved by the Postgraduate Studies Committee be an active researcher in The University of Waikato or other research-based organization or have recent research experience in such a setting (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
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 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

Restrictions on Supervisors

Staff may not supervise or convene an examination for a candidate	with whom they have a close family or personal relationship
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.

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
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.

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
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
Facilities & research activities	To arrange for the candidate to be made familiar with the facilities and research activities of the department and Faculty/School
Social & intellectual life	To encourage the candidate to play a full part in the social and intellectual life of the department and Faculty/School
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
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
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
Checking progress	To assist the candidate by regularly checking the records of data and observations and suggesting improvements where appropriate
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)
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
Constructive criticism & advice	To provide constructive criticism and advice on submitted written drafts within timeframes agreed
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
Completion	To facilitate timely completion of the candidate's study and ultimate completion of the thesis
Oral examination	To support the candidate in the preparation for and at the oral examination. [Note: The chief supervisor is not an examiner]

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
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
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
	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)
	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
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: 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.

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

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
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
Continuity	To provide continuity of supervision in the event of the absence or departure of the chief supervisor
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
Report	To contribute to the chief supervisor's report to the examiners or submit a separate report if considered necessary
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
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
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
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

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
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.