1. Introduction and Purpose
1.1. Ulster University recognises the importance of robust supervision and this policy reflects the University’s commitment to establishing and maintaining systematic and clear supervision arrangements.
1.2. This policy lists the requirements and provides guidance relating to the roles within the supervisory team, the appointment of supervisors, responsibilities, safeguarding the interests of postgraduate researchers (PGRs) in the absence of or a change of supervisor and the training/development of supervisors.
2. The Supervisory Team: criteria for the appointment of supervisors
2.1. The candidate shall be supervised by two or more supervisors working as a team and shall be appointed by the Senate on the recommendation of the Faculty. This Supervisory Team shall include a Chair, who in addition to providing a supervisory role in relation to the candidate’s research shall deal with all administrative matters relating to the degree programme, take responsibility for all formal reporting and set up the oral examination.
2.2. The Team shall also include at least one supervisor who has successfully supervised to completion at doctoral level and at least one supervisor who has a track record of achievement in research consistent with inclusion in the REF.
2.3. Other team members can include academic and research staff with specialist knowledge in the research area or who have extensive experience in research supervision. All team members shall have the ability to demonstrate expertise in the project area.
2.4. All team members shall hold a doctoral level qualification or in exceptional circumstances, the Team can include one member who is able to demonstrate considerable equivalent experience. Supervisors who have not supervised to successful completion shall receive training in supervision prior to appointment or as soon as possible thereafter.
2.5. The Supervisory Team shall normally comprise two or three supervisors only.
2.6. Where collaboration has been arranged with another establishment, this establishment will normally appoint an additional supervisor.
2.7. A person who is registered for a research degree shall not normally be permitted to take on duties as a supervisor for a PhD researcher.
2.8. Should it be necessary, either on academic or other grounds, for a supervisor to be changed, approval of the Senate must be sought.
2.9. Where a supervisor cannot be appointed in accordance with the requirements of this section the Senate may make special arrangements for supervision.
2.10. Where the research work of a candidate is to be conducted away from the University and at the premises of another organisation, the appointment of an external supervisor in accordance with the appropriate guidelines may be considered. Where a candidate is a part-time PhD researcher based outside the United Kingdom or Ireland, the appointment of an external supervisor in accordance with the Framework for Distance Research Study will be required other than in exceptional circumstances.
3. Key Responsibilities of the Supervisory Team
3.1. To be aware of the University’s regulations, procedures, policies (including the PhD Researcher Charter) and to ensure the PGR is aware of and understands the same.
3.2. To encourage and instil in their PGRs a high standard of research ethics and an understanding of the University’s plagiarism policy.
3.3. To ensure, where appropriate, that ethical committee approval, risk assessments, intellectual property considerations and other related considerations have been addressed.
3.4 To provide guidance about the nature of the research and the standards expected, the planning of the research degree, literature and sources, and about requisite research techniques (arranging for instruction where necessary).
3.5. To work with the PGR to clearly and realistically define their project from the beginning to support their completion within the allotted time of the programme, including availability of resources.
3.6. To agree with the PGR/candidate a schedule of regular meetings with the PGR at the beginning of the project. The frequency of meetings will likely be determined by the nature and stage of the research being undertaken and the time of year. All supervisors should, however, expect to meet with their PGRs in person at least on a monthly basis (or every other month for part time PGRs).
3.7. To confirm all formal supervision meeting notes at least on a monthly basis via PhD Manager.
3.8. To ensure that the PGR is made aware of unsatisfactory progress and provide them with advice and guidance on how to improve, setting interim tasks or pieces of work, and escalating issues in a timely manner to the Postgraduate Tutor (PGT) or Research Director where necessary.
3.9. To agree with the PGR at the beginning of the project a reasonable timeframe for the submission and feedback of submitted work.
3.10. To undertake a Training Needs Analysis with the PGR via PhD Manager at the start of the research degree programme and to encourage the PGR to continually assess their development needs on an ongoing basis.
3.11. To encourage PGR attendance at events and training opportunities offered through the Researcher Development Programme, the research area or external providers.
3.12. To encourage prompt dissemination of research findings and agree authorship for publications or other outputs as appropriate to the discipline, encouraging the PGR to present work both within the research community of the University and externally.
3.13. To submit a Supervisors’ Annual Report as part of the Annual Progress Review process.
3.14. To ensure that the PGR is aware of institutional support services, including wellbeing services, disability and occupational health support and careers guidance.
3.15 To support the PGR to overcome difficulties they encounter (whether of a personal or academic nature) and, where appropriate, direct them to additional sources of assistance.
3.16. To ensure, where required, that their duties are fulfilled with regard to any formal requirements from external bodies or agencies in relation to the submission of reports, training etc. and to ensure that appropriate agreement has been obtained from all parties in relation to the communication of research outputs.
3.17. To help PGRs prepare for submission and examination of their thesis (e.g. mock viva).
3.18. To ensure that the Board of Examiners are nominated and appointed prior to submission of the thesis to facilitate timely examination.
3.19. To liaise with the Board of Examiners to arrange a suitable date and time for the final examination and communicate arrangements to the Doctoral College.
3.20. To attend the oral examination, if requested by the PGR.
3.21. To confirm and complete post-thesis submission requirements to ensure the PGR may graduate, including the Reassignment of Intellectual Property Rights, the Deposit of Samples and Data and to advise upon the access restriction level of the final theses.
4. Change in Supervisory Arrangements
4.1. The University cannot guarantee that the original supervisory team will be available for the duration of the research degree but will endeavour to ensure continuity and alternative provision wherever possible.
4.2. Where a supervisor is unable to continue to supervise, the Research Director will initiate a change of supervisory arrangements process through PhD Manager.
4.3. If the Chair of the Supervisory Team retires from the University and takes up an Emeritus role, the supervisor may continue to supervise but a new Chair must be appointed.
4.4. If a supervisor leaves the University and wishes to continue involvement in the supervisory team, they may take up an External Supervisor position on the team. This may require an additional supervisor to be added to the team as two Ulster staff members must be on each supervisory team at any given time.
4.5. In some circumstances, where a supervisor has moved to a new institution, it may be necessary for the PGR to transfer with them. In these cases, the University will facilitate this process as expediently as possible.
4.6. In exceptional circumstances (for example, the breakdown of the relationship between supervisor and PGR) a change of supervisor may be requested by either party through the Research Director.
4.7. Where a change of supervisor is requested or if a supervisor is unable to continue with their duties, the Research Director is responsible for identifying and allocating an appropriate permanent replacement in consultation with the PGR and the remaining supervisory team.
4.8. Where a change of supervisor/supervisory team has occurred the new supervisor/s have the right to consult with the previous supervisor/s regarding the PGRs work/progress to date.
5.Supervisor Training and Development
5.1. The Doctoral College is responsible for offering supervisor training and development for all PGR Supervisors at Ulster. The Supervisor Development Programme includes workshops for new and existing supervisors and all PhD Supervisors are encouraged to access this training and support.
5.2 All supervisors will be given access to resources via the Doctoral College and, as an institutional member of Vitae, to supervision resources on the Vitae website.
6.Monitoring Compliance
6.1. The University is required to comply with the Quality Assurance Agency for Higher Education’s Quality Code for the assurance of academic quality in postgraduate research, as a condition of receiving funding for postgraduate research. All staff engaged in supervision and all PGRs must know and adhere to the supervision responsibilities laid out in this policy.
6.2. Where a supervisor repeatedly fails to engage with the University’s progression/attendance monitoring system, the University should have in place a process by which cases can be escalated to the relevant Research Director.
6.3. Where evidence exists of poor support or inappropriate behaviour, the University should have in place a process by which complaints can be escalated to the relevant Research Director. The eventual result of this process could be the prevention of any further involvement in PGR supervision.
6.4. Extreme cases of inappropriate behaviour will be referred immediately to the Research Director for investigation.
6.5. Supervisors should be aware that the University’s appeals procedure enables PGRs to appeal on the grounds of inadequate supervision. The processes in place to maintain records of supervision meetings is in place to support supervisors should a PGR appeal against a decision made by the University.