Research supervision and training at the ANU

The Australian National University is Australia’s pre-eminent research-intensive university and is among the world’s leading research universities. The ANU is committed to the highest standards of excellence in research and scholarship and in teaching and learning. Higher Degrees by Research (HDR) provide the most intimate link between the research and educational functions of the University.HDR students bring intellectual vigour to the University. The research that they undertake, the research practices they learn to master, and the research-related values they embrace are critical to the University’s mission and to its legacy.

The ANU is committed to the highest standards of excellence in the research training and supervision of HDR students. Consistent with the University’s educational objectives, supervisory panels that draw on key areas of research excellence underpin the approach to research training at the ANU. Research supervision is a complex and sophisticated teaching and learning enterprise.

There are different models of supervision (for example, partnership; mentoring; master-apprentice, and guide-independent scholar). While supervisors and students generally have preferences for particular models, some models are more effective than others at particular stages in the supervision process. The likelihood of success is enhanced when all partners involved have some understanding of the process and can focus that insight to plan and actively engage in the supervisory relationship. Best practice HDR supervision requires informed reflection and open and clear communication. Effective negotiation is a hallmark of excellence in research supervision.   

Code of practice purpose and structure

This Code of Practice is written for all partners in the research training enterprise, especially HDR candidates, members of their supervisory panels, graduate studies conveners and delegated authorities. It has two purposes, namely, 1. to describe expectations of HDR students (in the form of milestones) and of staff (in terms of lines of responsibility), and 2. to outline a set of guidelines for sound practice. The overriding intention is to ensure that the HDR experience and the thesis produced at its culmination are of the highest quality. The document begins with a statement of the principles underpinning the Code of Practice. Following that, the Code’s core components are

1.  PhD and MPhil candidature milestones that lead to successful completion;

2.  lines of academic responsibility for all required procedures at each stage in the HDR candidature, and

3.  a framework showing best practice guidelines for successful HDR candidature for students, their supervisors, and the relevant College or the University; 

This document ends with a glossary that defines key terms used in this document (shown in italics on first appearance), an index, and relevant links.

Principles

The following principles underpin the University’s approach to higher degrees by research.  All members of the University community involved in HDR programs are expected to understand and to apply these principles. 

1.  Excellence

The pursuit of excellence in research and scholarship and in teaching and learning is the overarching principle that guides the HDR process and instructs those entrusted with its progress. Embedded in the pursuit of excellence are principles of productivity, creativity, professionalism, and commitment.

2.    Integrity

A central component of excellence in research training is the integrity of all involved in the supervisory relationship. This requires commitment to originality and to ethical conduct, and proper recognition of the intellectual property and authorship of others’ work.

3.    Respect

Excellence in the research and educational endeavours cannot be achieved without mutual respect between all parties - students, supervisors, senior officers of the University, and administrative personnel. Respect is founded on academic freedom, diversity, equal opportunity, and due acknowledgement of achievement.

4.    Responsibility

Excellence in research training depends on all parties taking responsibility for establishing reciprocal relationships and constructive partnership that lead to successful completion of higher degrees by research. Responsibility includes meeting the formal requirements, taking the initiative to address emerging challenges and opportunities, seeking to maximize productivity, and monitoring and ensuring good progress.

5.    Accountability

Research training is a purposeful activity involving time and resource commitments by individuals and organizations. All those involved may expect that others will seek to ensure that there are appropriate and timely outputs that provide benefits to the student, supervisors, the University and society, through professionalism and diligence, the meeting of milestones, and publication of research.

6.    Ongoing improvement

The process of research training is constantly changing. ANU staff and students will keep abreast of changing demands and practices so as to continue to evolve and develop the HDR programs of the University to achieve the highest standards possible.

Higher degree research candidature milestones - PhD

The following timeline shows the sequence of significant candidature milestones for a full-time PhD student. They are designed to encourage timely completion, that is, within the ideal timeframe of three years. The milestones highlighted in bold are the approved University-wide academic progress reporting milestones,[1] for which there are set dates (see also the lines of academic responsibility on page 6 of this Code of Practice).

Candidates who do not submit their thesis within 36 months must continue to submit research plans and research progress reports every 12 months. The maximum period of entitlement for a PhD under the Research Training Scheme is 4 years full-time. After that time, candidates must apply for an extension of their program.

Higher degree research candidature milestones - MPhil

The following timeline shows the sequence of significant candidature milestones for a full-time MPhil student. They are designed to encourage timely completion, that is, within the ideal timeframe of 18 months. The milestones highlighted in bold are the approved University-wide academic progress reporting milestones,[2] for which there are set dates (see also the lines of academic responsibility on page 6 of this Code of Practice).

Candidates who do not submit their thesis within 18 months must continue to submit research plans and research progress reports every 12 months. The maximum period of entitlement for an MPhil under the Research Training Scheme is 2 years full-time. After that time, candidates must apply for an extension of their program.

Lines of academic responsibility of University staff for Higher Degree Research candidature [3]

Notes :   1.        Local area administrators and the appropriate Office in the Division of Registrar and Student Services also have a role to play in all of these processes and should often be the first point of contact for students and supervisors. Advice about all policies and procedures relating to Higher Degree Research students can be obtained from local area administrators, chair of panel, the Division of Registrar and Student Services, graduate conveners for the relevant Graduate Studies Field(s).and the Delegated Authority for the relevant acacemic program

 2.        It should also be noted that compliance with Education Services for Overseas Students requirements is always an important consideration for international students. Any change in an international student’s candidature should not be undertaken without prior consultation with the Office of Policy and Regulation in the Division of the Registrar and Student Services.

Best practice framework for successful HDR candidature

This section of the Code identifies for students, their supervisors, and for the University unit with which they are affiliated a list of best practices for each stage in the HDR candidature, namely, 1. Recruitment and enrolment;  2. Arrival and setting in; 3. Research on the go, and 4. The end in sight-producing the thesis.

The following recommended best practices are designed to help ensure that all HDR scholars enjoy a high quality research training experience with successful completion in a timely fashion.

1. Recruitment and enrolment

Students

• initiating contact with potential supervisors and/or graduate studies conveners;
• complying with departmental requirements concerning research proposals;
• meeting degree and language entry requirements of the College and University.

(Prospective) supervisors

• responding promptly with advice to prospective students concerning research proposal viability; 
• referring prospective students to appropriate supervisor and/or unit.

College/University

• advertising and explaining entrance requirements, applying entry standards equitably;
• providing prompt informative advice concerning program and University regulations;
• informing prospective students of available research areas and prospective supervisors;
• ensuring the availability of appropriate supervisory resources before making admission offers;
• directing students to information about scholarships and other forms of financial assistance.

2. Arrival and settling in

Students

• meeting promptly with prospective supervisor to establish mutual expectations and responsibilities;
• agreeing on the frequency and nature of contact with the prospective supervisor;
• attending induction programs within the department as well as those offered by the University;
• becoming familiar with the University’s codes of practice for higher degree research;
• working on the research plan for the first 12 months under the direction of the chair of panel and panel members;
• complying with departmental requirements (e.g. prescribed coursework, laboratory or language training, pre-fieldwork seminars) and supervisory recommendations concerning skills training or further study;
• Discussing with the supervisory panel relevant issues re. research integrity and intellectual property.

Chair of supervisory panel

• assuming primary responsibility for supervision of students;
• acting as convener of supervisory panel;
• ensuring other panel members, especially newer staff members and off-campus members, are aware of their responsibilities;
• ensuring students have access to resources in line with the Policy on Minimum Allocation of Resources;
• informing the Head of Department and Program Authority of students’ likely requirements and costs, including fieldwork and any exceptional needs or costs.

Supervisors (including chair of panel)

• acting in accordance with University codes and guidelines;
• meeting promptly with commencing students to establish mutual expectations and responsibilities;
• agreeing on the frequency and nature of contact with commencing students;
• providing advice on and establishing contact with possible panel members, including advisers to provide additional expertise on the panel;
• assisting students in the preparation of their research plan for the first twelve months;
• advising students re. skills training or further study relevant to proposed research;
• monitoring student progress in light of the research plan for the first twelve months;
• raising issues of ethical research and intellectual property, and discussing how they will be handled.

College/University

• providing induction programs to familiarise students with program guides and University resources;
• ensuring that University standards on minimum resources for supervision and research are met (including access to laboratories, offices, travel funding);
• providing learning support, skills workshops and courses, and facilitating cross-campus learning;
• providing advice and clear guidelines concerning ethical research conduct, intellectual property, and the appropriate retention or destruction of sensitive data.

3. Research on the go

Students

• consulting with the chair and panel members about proposed research plans, before commencing research;
• informing the chair of any change in research design or content, particularly if working off-campus;
• seeking feedback from the chair and panel members on research progress;
• conducting research in accordance with approved ethics clearance, and seeking fresh clearance in light of new research contacts and contexts;
• attending seminars and workshops arranged by the Graduate Studies program;
• becoming familiar with University policy on health and safety, and insurance issues;
• reporting immediately to the chair or unit any accident or emergency; 
• if working outside of Australia, registering with the Australian consulate;
• re-evaluating original research proposals in light of research findings;
• maintaining productivity and adhering to expectations set out in the research plan;
• taking advantage of workshops and courses on offer for HDR students at the ANU.

Chair of supervisory panel

• arranging panel meetings to consider the student’s detailed research proposal, Annual Plan, Thesis Proposal Review, and if applicable, Mid-Term Review.

Supervisors (including chair of panel)

• assessing with other panel members, including advisers, the appropriateness of the student’s proposed research sites, modes of analysis, and data selection;
• identifying shortcomings in any aspect of research plans and providing guidance for improvements;
• briefing students on possible challenges (eg. difficulties in accessing data or working in particular sites);
• ensuring that ethical approval is in place before research commences;
• promoting consultation and interaction by students, within and across colleges;
• evaluating the appropriateness and effectiveness of the supervisory panel;
• providing opportunities for research reporting;
• introducing students to useful and effective networks; 
• remaining up-to-date and informed about workshops and courses on offer for HDR students at the ANU and advising students of these, and
• referring students to appropriate supports and resources (e.g. University health, Insurance) if needed.

College/University

• advising students about guidelines re. studying away from campus;
• providing health and safety equipment (eg. in laboratories);
• providing necessary laboratory and/or pre-fieldwork training (usually at departmental level); 
• providing financial support for approved fieldwork, in an equitable and transparent manner;
• responding quickly and effectively to student requests for assistance in emergency situations.

4. Finalising the thesis

Students

• maintaining close and regular contact with the chair of panel, particularly when working away from campus;
• submitting drafts according to schedule determined in consultation with the chair of panel;
• considering advice from panel members concerning the editing and revision of thesis drafts;
• discussing with the panel chair possible thesis examiners
• informing the Postgraduate Students’ Office, 2 months prior to intention to submit, with thesis title;
• producing thesis for examiner according to University presentation standards.

Supervisors (including chair of panel)

• maintaining regular contact with students, and a schedule for draft submissions;
• reading thesis drafts and providing timely written and oral feedback;
• discussing career preparation with students (e.g. post-doctoral work, publications, on-line thesis availability);
• introducing students to colleagues and scholars working in similar fields;
• reviewing and determining suitability for submission of final thesis drafts;
• discussing possible examiners with students and finalising nomination at least 2 months prior to submission;
• informing students of, and advising about, examiner-requested thesis amendments or revisions.

College/University

• articulating clear regulations re. thesis submission, including appeals provisions;
• approving suggested examiners after a review of their appropriateness, according to University guidelines;
• providing career-related information and skill development opportunities for HDR candidates;
• administering the ANU PREQ questionnaire in a manner that respects confidentiality;
• offering an exit interview opportunity for all graduating HDR students;
• providing a public ceremony for the conferral of HDR degrees.

Other Important Guidelines

Supervisory Panel

Detailed guidelines on the ANU supervisory panel, establishing a supervisory panel, and the roles and responsibilities of panel members and research degree candidates are provided in:

• Guidelines for Supervision and Candidature of Doctoral Research Students;
• Supervision of Master by Research Students;

Grievances

The University has formal procedures for dealing with grievances including:

• Student Complaint Resolution

Equity and Diversity

Issues of Equity and Diversity relate directly to successful supervision and candidature.  The Equity and Diversity Unit website (http://www.anu.edu.au/equity/ed/policy_process.php) covers University policies on:

• Harassment
• Discrimination;
• Equal Opportunity

All University policies and guidelines are available on the ANU Policies website at:

http://info.anu.edu.au/policies/index.asp

Glossary

Adviser

Candidate

Chair of supervisory panel [Chair]

College Dean

Delegated Authority

Enrolments Office

Ethics Committee

Examiners

Graduate studies convener

Head of Department

Higher degrees by research (HDR)

Local area postgraduate administrator

Panel [Supervisory panel]

Scholarships committee

Scholarships Office

Student [candidate]

Index

[To be prepared after document has been revised)

[1]There may be variations in the timing of these milestones for candidates in different programs, for example where candidates are required to undertake coursework for an initial period of their candidature. Details of any such program variations should be clearly identified in local area HDR program documentation.

[2]There may be variations in the timing of these milestones for candidates in different programs, for example where candidates are required to undertake coursework for an initial period of their candidature. Details of any such program variations should be clearly identified in local area HDR program documentation.

[3] All responsibilities identified here are subject to discussions that are currently underway concerning changed delegations associated with the new College structure.