Responsibilities of Departments
Management Of Research Students
*Changes agreed by BGS 17 June 2021 indicated in bold in section (f)
Academic departments are responsible for:
(a) Developing explicit mechanisms for determining and monitoring staff workloads in respect of teaching, research student supervision, personal research and administrative commitments so that the other duties of supervisors within their departments leave them sufficient time to supervise their research students to an appropriate standard.
(b) Drawing the attention of students and supervisors to the University’s Research Code of Conduct and putting in place a mechanism to ensure the review of students’ research proposals in accordance with the University’s Ethical Scrutiny Framework. The relevant documents are available on the Research and Impact Services website.
(c) The nomination (preferably for a period of more than one year) of a member of staff to act as Director of Graduate Studies (or equivalent) with responsibility, in collaboration with other members of the department as appropriate, for oversight of the selection and progress of research students, the allocation of supervisors and departmental procedures for the monitoring of the progression of research students, including reviewing the effectiveness of these procedures at departmental level. Departments should ensure that this person is clearly identified through departmental student handbooks.
(d) The nomination of a member of staff as an adviser/mentor/personal tutor for each research student, whom the student can consult in circumstances in which they do not wish to consult the supervisor or in the case of difficulties that the supervisor cannot or will not resolve. In departments with small numbers of postgraduate research students, this may form part of the duties of the Director of Graduate Studies. The nominated personal tutor must be clearly communicated to all PGR students, and will act as the informal personal tutor outside of the supervisory relationship, providing support or guidance if needed. The expectation is that the supervisor(s) continue to provide academic and basic wellbeing support to students under their supervision. The nominated personal tutor will offer to meet with their PGR students once a year (this may be in groups), with an initial meeting in students’ first term of year one. The focus of any personal tutoring will be on academic support and basic wellbeing with students being signposted and referred to other University development and support services such as the Faculty Senior Tutor as required..
(e) Putting in place appropriate arrangements for the admission of postgraduate research students. Great care should be exercised over the admission of research students and the allocation of supervisors. At least two members of academic staff should be involved in the decision to admit a student to a research degree. Departments are advised to consider requiring a candidate to submit written work and, if possible, attend an interview. Departments should look for evidence not only of academic ability but also of a general understanding of the nature of research in the chosen discipline. A candidate should be made aware of the type of research being undertaken within the department and by their allocated supervisor.
At least one supervisor must be identified at the admissions stage and communicated to Postgraduate Admissions. No candidate will be offered a place by the University if a supervisor is not identified. Departments should also bear in mind the requirement eventually to put in place arrangements for alternative supervision in the event of the first nominated supervisor not being able to continue to act for any reasons during the course of the student’s registration.
Care should also be exercised by departments in deciding whether a student should be admitted to full-time or part-time registration for a research degree, especially where it is evident that a student will be residing some distance from the University and/or will be required to undertake paid employment in order to finance themselves during their period of study. As a matter of guidance, full-time research students should expect to be required to devote 1800 hours per annum to their studies. Departments should seek the advice of the Doctoral College on such matters in appropriate cases.
(f) The allocation of a supervisory team to each research degree student, taking account of the subject expertise, skills and experience of staff and the provision of supervision throughout the period of registration, including any possible absences for study leave. Supervision will normally be provided by a designated primary supervisor, with primary responsibility for the student’s academic guidance, assisted by a team which may consist, inter alia, of one or two co-supervisors, the Director of Graduate Studies, the student’s adviser/mentor/personal tutor, and other members of academic staff who may be asked to train or advise the student in specific areas (e.g. research techniques or methods).
ELIGIBILITY
The primary supervisor should normally be a research-active member of academic staff from the student’s department/school/centre, with an open contract of employment of at least 0.5 FTE. Emeritus and retired members of staff or those on honorary appointments are not eligible to act as sole or primary supervisors.
Departments may appoint co-supervisors where, for example, additional specialist subject expertise is required. In many departments and centres, appointment of one or more co-supervisors is standard practice. All supervisors should be expecting to be available for the full duration of the student’s study, though staff who retire during the period of supervision may, if they are willing, continue as co-supervisors. Suitably experienced staff on teaching-focused or research-focused contracts are eligible to act as supervisors. Honorary or visiting staff can be appointed as co-supervisors in appropriate cases where they will be available for the whole period of the degree.
The appointment of a co-supervisor may be appropriate as a means of providing supervisory experience for new or less senior members of staff, including postdoctoral researchers, provided that the individual concerned has completed supervisory training. Departments should bear in mind that designated co- supervisors will not normally be eligible to act as an internal examiner for the student.
Where more than one supervisor is appointed for any student, the Department should ensure that the roles and time commitments of the supervisors are clear to both supervisors and student. It is recommended that percentage allocations for each supervisor should not normally be less than 20%. Where it is proposed that a student should be co-supervised by a person who is not a member of the University of Warwick staff, it is particularly important that a prior agreement is put in place between the department and the external co-supervisor and/or their employers as to the division of supervisory responsibilities and any payment for them.
Departments are advised to give particular care to arrangements involving an inexperienced supervisor. Staff who are on probation, postdoctoral researchers and staff with little or no experience of supervising research students in a University environment (even if there is no period of probation) should normally not be appointed as the sole or primary supervisor. If in exceptional circumstances, it is necessary to appoint such a person as the primary supervisor (e.g. because of their subject expertise), a member of staff with greater supervisory experience should be designated as the co-supervisor. A department should satisfy itself that all supervisors have received appropriate training (e.g. have completed the Academic and Professional Pathway for Teaching Excellence (APP TE) and that a satisfactory method for supporting and monitoring all supervisors is in place. Retired members of staff or those on honorary appointments are not eligible to act as sole or primary supervisors.
(g) Establishing clear procedures to allow for a change of supervisor should a student and/or supervisor feel this to be necessary. It is recognised that, should a student request a change of research topic to one in which the department has insufficient expertise to provide supervision, it may not be possible to find an alternative supervisor. In cases where appropriate expertise is not able to be provided within the department, the Director of Graduate Studies and Head of Department will ensure that appropriate arrangements are in place to ensure the student is able to complete their degree.
(h) Making appropriate arrangements for the supervision of students during periods of absence of the supervisor(s) from the University of more than one month, such as during summer vacations or study leave, and in periods when the student is undertaking research away from the University for a similar period. Departments should make available to students information on the mechanisms through which informal and formal concerns about these arrangements may be raised, should this be necessary.
(i) Making appropriate arrangements for students whose supervisors suffer a prolonged period of illness.
(j) When a member of the supervisory team leaves the University, departments are responsible for putting in place appropriate alternative arrangements in consultation with the student and maintaining the requirements set out in section (f).
(k) Putting in place appropriate arrangements for the supervision of students who are expected to be away from the University for substantial and prolonged periods during the course of their studies, including periods undertaking fieldwork, and the review on at least an annual basis of the effectiveness and appropriateness of these arrangements. Departments should refer to the supplementary guidelines that can be found in the document entitled ‘Guidelines for the Supervision of Research Students Based Away from the University’.
(l) Submitting requests for a period of suspension for students when appropriate in line with the University procedures set out in section 1.
(m) Monitoring closely the progress of students throughout their period of study (including periods of extension) with the aim of supporting students in the submission of their research thesis, normally by the end of the period of formal registration, and in accordance with the Good Practice Guide on Monitoring Student Attendance and Progress. Formal departmental reviews of progress should normally be held at least on an annual basis. Where at any time it appears that inadequate progress is being made, or that submission might be delayed, the Director of Graduate Studies should discuss with the student and supervisor(s) a plan to improve progress. If necessary, periods of extension should be requested in line with the procedures set out in section 1. Where, exceptionally, it appears that, even after remedial action, a student’s lack of progress is such that they will not be able to complete their thesis to an adequate standard, the department should consult the Doctoral College as to the appropriate procedures to follow in the particular case.
(n) The prompt nomination of suitable examiners (and, where appropriate, examination advisers) for research degrees to the Doctoral College, normally at least one month before submission of the thesis and in accordance with University requirements and procedures as set out in the Guide to Examinations for Higher Degrees by Research.
(o) Providing students whose theses are referred for resubmission with appropriate advice on revising the thesis in line with the notes of guidance provided by the examiners. This advice would usually be provided by a member of the supervisory team.
Information and Support for Supervisors
Academic departments are responsible for:
(a)Providing guidance to supervisors on departmental monitoring procedures and University and departmental expectations of the supervisory role. This should include guidance on providing feedback to research students, giving an indication of a reasonable timescale for feedback, and on departmental requirements for record-keeping of supervisions. This information should also be made available to students.
(b)Encouraging new members of academic staff to attend staff development activities in research supervision.
(c)Informing supervisors of departmental and University procedures for dealing with cases in which a student appears not to be making sufficient progress or when a breakdown has occurred in the relationship between student and supervisor.
(d)Providing guidance to supervisors on the University’s Research Code of Conduct and the mechanism for review of research students’ proposals under the University Ethical Scrutiny Framework.
Information and Support for PGR Students
Academic departments are responsible for:
(a)Providing students with information (preferably through a departmental handbook and induction meetings) concerning the facilities and training available to them in the department; the department's expectations and arrangements for monitoring progress and upgrading to full PhD registration; procedures, both at departmental and University-level, for making both informal and formal complaints concerning supervision and changing supervisor; operation of the department's postgraduate staff-student liaison committee; and any other relevant departmental procedures. Students should be advised of their responsibilities, as set out in section 4 of these Guidelines. Departments should provide students with information on the sources of advice and support that are available to them from theSenior Tutor’s Office,Student’s Union Advice and Welfareand the Doctoral College when considering making a complaint.
(b)Providing an induction and research training programme, including participation in any appropriate Faculty or University-level activities, which covers research methodology, the use of equipment and computer software, health and safety, ethical issues, intellectual property rights and transferable skills as appropriate to the discipline. Departments are encouraged to make students aware of theResearcher Development Programme. Identifying students in need of additional English language support and referring them to the appropriate University service when necessary.
(c)The organisation of a research seminar or similar programme for research students and staff according to practice in the discipline including opportunities for students to present their work to other members of the department.
(d)Providing students with the opportunity to give feedback on their experience at the University, including through the establishment of a SSLC for research students or representation on a Postgraduate SSLC.
(e)Within the resources available to the department and elsewhere in the University, giving current students access to adequate study space, equipment, library and computing facilities to pursue their research successfully and bringing any serious deficiencies to the notice of the appropriate University body. It is recognised that the facilities made available to students in different departments will vary depending on the resources available to the department, its policies on allocation of resources and the needs of the academic discipline.
Monitoring Procedures
Academic departments are responsible for:
(a)Establishing and operating clearly documented monitoring procedures for research student progress, including feedback to students on their progress, which are consistent with University and external funding body policy and which are well-understood by both staff and students. Such monitoring procedures should comply with theGood Practice Guide on Monitoring Student Attendance and Progress.
(b)Maintaining a record of student progress in the departmental student file. It is expected that departments should have established systems to ensure that the frequency and length of supervisory meetings with postgraduate research students are recorded, noting that PGR supervisory meetings are expected to be held at least once a month.
(c)Ensuring that the departmental student file contains a record of the student’s attendance at compulsory training sessions or seminars and a full note of the outcome of any upgrade or review and of any difficulties experienced by the student which may affect the progress of their research programme. Student files, whether physical or electronic e.g. via theTabulaplatform should be maintained for the duration of the student’s registration at the University and should not be solely reliant on copies of email correspondence between supervisor(s) and the Student. Students should also be given the opportunity to record their own activities, through personal development plans and/or individual web pages.
(d)PGR students are normally responsible for filing reports after a supervisory meeting recording discussions and any relevant action points, with supervisors confirming the content of these reports are accurate before adding to a student’s file. There are no expectations as to length or format of these reports and departments may wish to develop standard forms to record such information.
(e)The Doctoral College will operate a process whereby there are spot checks to ensure that academic department’s operations in relation to recording students’ progress and monitoring are aligned with the University’s Guidelines on Supervision and Monitoring.
(f)Encouraging students to begin work on the research project at the start of the period of registration. The early submission of a piece of written work will help to identify any areas in which further training or development is needed. Departments may wish to require the submission of a formal piece of written work within the first six months of registration.
(g)Upgrade and progress review
(i)Putting in place procedures for monitoring progress during any period of fieldwork or study away from the University, in line with theGuidelines for the Supervision of Research Students Based Away from the University. This might include an expectation of regular contact with the supervisor, for example through email if meetings are not possible. The student may also be expected to submit regular brief reports of progress during the period of field work.
(j)Departments are expected to monitor the progress of students nearing the end of their period of registration particularly closely so that the member of staff responsible for postgraduate research students is aware of cases where a student is likely to find it difficult to complete on time. The situation should be discussed with the student and supervisor to agree a plan to improve progress.
Unsatisfactory Progress
Academic departments are expected to put in place procedures to deal with cases of unsatisfactory progress, in accordance with the Good Practice Guide on Monitoring Student Attendance and Progress. Departments may wish to base these on the guidelines below.
(a)Unsatisfactory progress should be dealt with as soon as possible after it becomes apparent that a student is encountering difficulties. Supervisors are advised to keep a record of contact with the student and the outcome of supervision meetings if they have concerns about progress being made.
(b)Initially, a student’s supervisor should discuss the situation with the student and explain why progress is unsatisfactory. If there is an explanation such as ill health or personal difficulties, the supervisor should discuss the possibility of requesting a suspension. It may also be appropriate to refer the student to support services within the University or the Students’ Union.
If there are no mitigating circumstances, the supervisor should attempt to identify the academic reasons for poor progress and agree with the student measures to improve progress and a plan of work to be done. A written record should be kept of any such discussion. The Director of Graduate Studies should be informed of a supervisor’s concerns at this point if s/he has not already been involved.
(c)If progress continues to be unsatisfactory by the time of the next deadline for review and there are no mitigating circumstances, the supervisor, Director of Graduate Studies and/or Head of Department should discuss the situation with the student and set a further deadline for review of progress.
(d)Should the situation not improve the department will wish to consider whether the student should be advised to withdraw or whether the department should recommend that the student’s registration at the University be terminated (see UniversityRegulation 36in the University Calendar). A department may also wish to discuss with the student the possibility of submitting a thesis for the award of a lower degree.
(e)If a department decides to recommend the termination of a student’s registration as set out inRegulation 36(Governing Student Registration, Attendance and Progress), the Director of Graduate Studies should seek advice from the Doctoral College. The student has a right to appear before the Continuation of Registration Committee and to appeal should the Committee uphold the recommendation requiring the student to withdraw. The department would also be represented before the Continuation of Registration Committee and at any appeal.
(f)If a student is suspected of cheating as defined by Regulation 11 please contact the Doctoral College.
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