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Roles and responsibilities of supervisors
Introduction.
Effective graduate student supervision requires complex interactions between graduate students and their supervisors. The role of a supervisor is threefold: to advise graduate students, monitor their academic progress, and act as a mentor. Supervisors not only provide guidance, instruction and encouragement in the research activities of their students, but also take part in the evaluation and examination of their students’ progress, performance and navigation through the requirements of their academic program with the goal to ensure that their students are successful.
Supervisors are responsible for fostering the intellectual and scholarly development of their students. They also play an important role in providing advice about professional development and both academic and non-academic career opportunities, as they are able, and based upon the student’s career interests.
The privilege to supervise Master’s research and PhD students requires that the supervisor hold Sole Supervisory Privilege Status (SSPS1 or SSPS2) . The intent of SSPS is to ensure that faculty have the appropriate knowledge to facilitate excellence in graduate student supervision.
Knowledge of regulations, policies and procedures
Effective graduate student supervision requires a knowledge and understanding of the University’s requirements and expectations. To this end, supervisors should:
2.1 Be knowledgeable and remain updated on department, Faculty and University regulations, policies and procedures, and have these protocols guide the supervisors’ decision-making and behaviour as they interact with graduate students. Supervisors are encouraged to take the necessary steps to be well-informed with those Policies identified in section 1.2 .
2.2 Be familiar with the support services available to students and faculty at the University including those articulated in section 1.2 . This information is normally available through department graduate co-ordinators, Faculty Graduate Studies Offices, Graduate Studies and Postdoctoral Affairs (GSPA), the Graduate Student Association (GSA) or the University Secretariat.
2.3 Be informed about University of Waterloo policies and procedures that inform academic integrity (Office of Research).
2.4 Be aware of the University of Waterloo and Tri-Agency policies and procedures associated with the conduct of research. Where appropriate, supervisors should be prepared to provide guidance to students on:
- The responsible conduct of research, with particular emphasis on the Tri-Agency Framework as defined in the Faculty Association of University of Waterloo (FAUW) /University of Waterloo memorandum of Agreement (Section 14).
- The ethical conduct of research (Office of Research) involving animals, animal or human tissues, and human participants
2.5 Have knowledge of the policies and procedures that govern international travel and security that can be found at Waterloo International.
Advice on program of study, research and professional development
As noted above, supervisors are expected to serve as mentors to their graduate students. To this end, supervisors should be prepared to provide well-informed advice on academics and professional development. More specifically, supervisors should be prepared to advise students on:
2.6 An academic program that is challenging, at the appropriate level for the degree being sought, and that can be accomplished within commonly understood and desirable time and resource expectations of the student and the supervisor.
2.7 The choice of courses and seminars needed to fulfil the degree requirements.
2.8 The development and construct of a research topic and proposal.
2.9 The development of a communication plan with the supervisory/advisory committee as to how the student’s progress will be assessed (including during thesis writing and completion), and the role of advisory committee members in the assessment.
2.10 The availability of internships, practica, co-op or other experiential learning opportunities as part of the program.
2.11 The availability of professional development resources for Waterloo graduate students to help advance the students’ career objectives.
Meetings/consultation
The establishment and communication of common expectations are critical elements to positive experiences for both graduate students and their supervisors. Achieving these outcomes can be facilitated by regular meetings and/or consultation between students, their supervisors, and where appropriate advisory committees. Especially important is timely feedback on students’ written submissions.
The University encourages supervisors to:
2.12 Ensure, especially important in the case of doctoral students, that the student has:
- An advisory committee as required.
- A program of study consistent with department and Faculty requirements that has been approved by the advisory committee as required.
- A research plan that is appropriate in breadth, depth and time to completion (see Milestones in master's and doctoral programs ).
2.13 Arrange for regular (as agreed by the student and supervisor) meetings (which may involve the advisory committee) with students for consultation to ensure steady progress. The frequency of such meetings will depend on the discipline/field of study, type of program, and the student’s progress. At least two, preferably more, meetings should be arranged in each academic term. Supervisors should also be reasonably accessible for meetings requested by their students. The approach to these student meetings should be individualized to reflect the needs of the student. For example, some students may need more support while other may need less.
2.14 Communicate their evaluation of student progress to the department once a year or more often if required. The report should clearly indicate the status of the student’s progress (i.e., satisfactory or unsatisfactory). In the latter case, the report must include a clearly articulated set of conditions that if satisfied will restore the student’s status to satisfactory. Where the supervisor feels that the student will have serious difficulties finishing the program, the supervisor, in consultation with the advisory committee as appropriate, will inform in writing, both the student and the graduate officer of the nature of the problem(s), suggested remedies and may recommend withdrawal from the program. More information on assessing students’ progress can be found in the Graduate Studies Academic Calendar.
2.15 Thoroughly review and provide constructive feedback on all written materials relevant to the thesis or research paper submitted by their students. The supervisor and the student are encouraged to establish in writing expectations on what constitutes timely feedback; a timeframe of two to three weeks depending on the complexity of the document is commonly applied. However, this can vary depending on various circumstances such as travel or vacation. These circumstances should be discussed between the supervisor and student.
2.16 Have knowledge of the guidelines for evaluating students’ progress in a research program (Graduate Studies Academic Calendar).
2.17 Inform students about the broad spectrum of resources available (Writing and Communication Centre) to facilitate development of oral communication and writing skills.
2.18 Be active and supportive in promoting students’ well-being. This may include:
- Inquiring about a student’s well-being, as appropriate.
- Directing students to appropriate support services , including Mental Health and Wellness resources (Campus Wellness).
- Displaying empathy towards the student.
2.19 Complete as appropriate the University requirements for Sexual violence awareness, referral and support training (Human Rights, Equity and Inclusion Office) to understand how to respond to disclosures of sexual violence and refer students to the appropriate supports.
The University recognizes that supervisors will be away from the University for extended periods of time (e.g., sabbatical, satellite campus, visiting professorship). Being physically away from the University does not preclude a supervisor from remaining engaged with their graduate students. In cases where the supervisor will not be available either in person or via electronic communications, the supervisor should:
2.20 Inform students, prospective students and the department of any anticipated extended period where communication will not be occurring. In cases when the absence is for a period of two months or more, supervisors should arrange for suitable communication methods. Interim supervision also must be arranged, for example, using members of advisory committees. Supervisors must inform the student’s department (chair/graduate officer) of the arrangements made for the period of absence, including supervision of laboratory or field work where graduate students continue to work during the absence.
2.21 Ensure students know that in situations where a supervisor works away from campus for two months or more and where their students can accompany the supervisor, the decision to remain on campus or to follow the supervisor rests entirely with the student. Students shall face no pressure (explicit or implicit) or consequences when making this choice and are not required to provide any reason.
As with the departmental representatives, supervisors have responsibility to advance safety. More specifically, supervisors should:
2.22 Ensure a safe working environment both on and off campus (working alone, field work) by assessing hazards and implementing appropriate controls. This must be in accordance with the Occupational Health and Safety Act, Policy 34 (Secretariat) and department and Faculty regulations. All supervisors must complete mandatory health and safety supervisor awareness training (Safety Office) and must ensure that graduate students complete both mandatory and work-specific safety training. More information can be found on the Safety Office website.
2.23 Ensure that students obtain additional training when new safety risks arise and ensure training is kept up to date.
Inherent to graduate education are the dissemination of knowledge and the participation in scholarly activities away from the University campus. Travel (domestic and international) can include fieldwork, conferences, course work and other work related to the thesis. Supervisors are encouraged to support students’ travel to accomplish these important objectives. Supervisors should:
2.24 Follow or encourage students to follow Policy 31 (Secretariat) that governs University-sanctioned travel.
2.25 Categorize and report risk associated with travel. Low risk (Safety Office) are activities for which it is expected that participants will encounter hazards that are no greater than what they encounter in their everyday lives. Examples of significant risk (e.g. industrial sites, remote regions etc.) are noted on the Safety Office website . Travel or field work that involves significant risk must be documented using the Fieldwork Risk Management Form from the Safety Office . For low risk activities off campus, supervisors should:
- Provide advice on preparation for pre-departure orientation and planning for any travel and including associated risk, as they are able;
2.26 Document the student(s) location and duration of travel, including personal and emergency contact information. Review the material provided by Waterloo International to understand how to best mitigate risk and ensure safety for international travel.
2.27 Encourage students to register using the Pre-departure Travel Form at Waterloo International .
2.28 Consult the Government of Canada Travel Advice and Advisories web page for the international destination and discuss the mitigation of risk with the students to the destination.
Financial assistance
Supervisors regularly provide financial support for their graduate students. Both the supervisor and the student benefit when a clear understanding exists of the value of funding, and the academic outcomes that should occur from the supported activities. Specifically, supervisors should:
2.29 Be informed about the spectrum of funding opportunities available through the department, Faculty and Graduate Studies and Postdoctoral Affairs (GSPA) for students in financial need and to communicate these sources to student.
2.30 Communicate clearly and in writing to their students the terms (e.g., amounts, length of time, conditions) of the financial commitment being made when financial assistance is to be provided from research grants or contracts under the supervisor’s direction.
2.31 Support students’ understanding of their funding, including a consideration of student expenses (primarily tuition and housing) and taxation, if appropriate.
Intellectual property
Increasingly, students and supervisors enter into their academic relationships with previously established intellectual property (IP). Moreover, students and supervisors may have an expectation that their collective work may produce new IP. Best practices include the articulation of students’ and supervisors’ understanding of IP relationships at regular intervals throughout the students’ academic program. More specifically, supervisors should:
2.32 Discuss issues related to intellectual property such as patents, software, copyright, and income from sales and royalties, and inform students of University policies about intellectual property and the conduct of research. It should be recognized that, in accordance with Policy 73 (Secretariat), intellectual property normally is owned by the creators. However, the University retains a royalty-free right to use, for educational and research purposes, any intellectual property created by faculty, staff and students. Ideally, supervisors and students should enter into a written agreement that expresses IP owned by either party prior to beginning the research relationship and the default way in which IP created by the researchers’ joint activities will be owned. A common example is an assumption in the absence of an explicit agreement of joint IP ownership, with each researcher owning an equal share.
2.33 Ensure that students are aware of implications and/or obligations regarding intellectual property of research conducted under contract. If appropriate, discuss with their students and any research partners the protection of intellectual property by patent or copyright. Any significant intellectual contribution by a student must be recognized in the form of co-authorship. Supervisors must convey to students, in advance of publication, whether they intend to recognize the student as co-author for work under contract.
Publications
Academic outputs – in various forms – document and demonstrate ownership of creative research and other scholarly activities. These outputs are important for advancing knowledge and catalyzing additional scholarly activity in these areas and should be encouraged. When supervisors and graduate students work collectively on these academic works, it is important for both that their relative contributions are represented appropriately. To achieve these goals, supervisors should:
2.34 Discuss with their students, at an early stage of their program, authorship practices within the discipline and University policies about publications ( Policy 73 on the Secretariat website).
2.35 Discuss and reach agreement with students, well in advance of publication and ideally at the outset of collaboration, the way in which authorship will be shared, if appropriate, between the supervisor, the student and other contributors for work conducted under contract.
2.36 Encourage the dissemination of students’ research results by publication in scholarly and research journals, presentation at conferences (domestic or international) and seminars;
2.37 Motivate the dissemination of research through non-traditional or non-academic avenues (e.g. Open Access resources, public presentations, and popular media).
Withdrawal of supervisory duties
In rare cases supervisors may determine that they are not prepared or able to continue in a supervisory capacity. When this occurs, the supervisor is required to:
2.38 Follow the guidelines in the Graduate Studies Academic Calendar regarding University Responsibilities Regarding Supervisory Relationships that outlines the steps for dissolution of the supervisory relationship.
Accommodation
The University is eager to establish conditions that maximize graduate students’ likelihood of success. To this end, supervisors:
2.39 Have a duty to engage in accommodations processes with AccessAbility Services , as requested, and to provide appropriate accommodation to the point of undue hardship.
2.40 Remain informed of their roles and responsibilities with respect to accommodations.
Guide for Graduate Research and Supervision
- Roles and responsibilities of departments, graduate officers and graduate co-ordinators
- Roles and responsibilities of graduate students
- Roles and responsibilities of advisory committees
- What You Should Expect from Your PhD Supervisor
- Doing a PhD
A good supervisor will act as your mentor. They will not only help you progress through each stage of a PhD program but can also act as a source of information or someone to bounce ideas off. To get the most from your supervisor, it’s essential to first understand what their role and responsibilities are in relation to you and your PhD. This won’t only help you understand the different ways they can support you, but also enables you to define clear boundaries which will go a long way to ensuring an enjoyable and respected relationship between the two of you.
1. Expertise in Your Subject Area
You should expect your supervisor to be an expert in the subject you are focusing your PhD on. This is crucial as your supervisor will act as your primary means of support during your PhD. Therefore, the effectiveness of his or her support directly corresponds to their knowledge of your chosen subject, which could be the difference to your PhD succeeding or not.
In addition to this, a supervisor who is an expert in your chosen field could save you from unnecessarily adding a year or more to the duration of your PhD. This is because, as an expert, they will already possess an in-depth understanding of what can and cannot be achieved in the field and have an appreciation as to what would and what wouldn’t help your research stand out. This trait will help them keep you on track, which helps ensure your time is being used most effectively.
Ideally, your supervisor should have experience in supervising PhD students. Although you could theoretically tackle your PhD alone, there are many areas applicable to all PhDs, such as literature reviews, methodologies, experiments, thesis, and dissertations, that an experienced supervisor can guide you on.
2. Regular Supervisory Meetings
As good as your supervisor may be, their ability to support you only comes into fruition if you interact with them. You will be expected to arrange regular meetings with your supervisor, and if necessary, other members of your PhD panel. This will allow you to report back on your latest progress, discuss any issue you’re facing, and review any plans to identify potential improvements, etc. Some supervisors will suggest meeting at regular intervals, i.e. every other week, some will suggest meeting on completing a milestone, i.e. completion of your first draft of the literature review, and others will suggest meeting specifically as and when you need their support. While none are notably better than the other, the key is to pick what works best for you and to ensure you’re meeting them frequently, even if that means having to combine two or all of the approaches.
It’s important to appreciate your supervisor is going to be busy. They are not only going to be supervising you, but they’ll likely be providing supervision to several other students, teach undergraduate classes and have their own research projects going on. However, if you can’t meet your supervisor as often as you would like because of this, your communication doesn’t need to suffer. Instead, make use of email . Not only will your supervisor appreciate this as it gives him time to respond on his own schedule, but you’ll likely get a more detailed response.
3. Feedback on Work in Progress
Another vital aspect to expect from your supervisor is to receive continuous feedback on your work. With your supervisor being an expert in their field, he should be able to review your work and identify any issues or areas for improvement. Gaining feedback on your work is critical through all stages of your PhD. Initially, feedback will be imperative to ensure you’re staying on track. Besides this, it gives your supervisor the opportunity to help set up aspects of your PhD in ways they’ve witnessed first-hand to be most effective, for example, by suggesting an alternative way to structure your literature review or record your research findings. During the ending stages of your PhD, your supervisor will play an essential role in supporting you in the production of your thesis or dissertation. The more you liaise with them during this process, the smoother the process will be.
4. Advice and Support
The advice and support that your supervisor can offer you throughout your degree will be invaluable. As an old saying goes, you can never be distracted if you get the right advice from the right person, which in this case will be your supervisor. As well as providing technical support, many supervisors will also look to provide emotional support through words of encouragement when the moment warrants it. Having once undertaken the journey themselves, they fully appreciate how challenging and stressful the journey can be.
It’s important to note that although your supervisor is there to provide support, they are not there to help with the minor details or every problem you may encounter. The role of the supervisor is to mentor, not to teach, or do it for you. It will be your responsibility to plan, execute and monitor your own work and to identify gaps in your own knowledge and address them. Your supervisor may help by recommending literature to read or suggesting external training courses, however, you should expect nothing more intrusive than this.
5. Mediation and Representation
All universities and departments will have their own rules and regulations. As a professional academic student, you will have to adhere to these rules. These rules are unlikely to be limited to behaviour only with several rules influencing your work as a PhD student. These rules may relate to how you are expected to submit documentation or to the experiments that require special permission before being conducted within their labs. If you have any queries about any rule or regulation, your first point of contact should be your supervisor.
Before starting a PhD, it’s reasonable to have many expectations in mind. However, of all expectations, the one of your supervisors is likely to be the most important. Your supervisor will act as the backbone of your research project and should provide you with continuous support throughout each stage of your degree. A great supervisor may not only be the difference between a smooth and turbulent process, but sometimes may also be the difference between a successful and unsuccessful PhD.
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