Chapter 5: Supervision

5.2 Code of practice for supervision of doctoral and research masters candidates

The Monash University Code of practice for supervision of doctoral and research masters candidates is based in part upon the principles outlined in the Australian Code for the Responsible Conduct of Research.

The code is regularly updated and refined by the Research Graduate School Committee and the Monash Postgraduate Association. The code is divided into five parts:

(A) Responsibilities at the institutional level

(B) Responsibilities at the centre, school, departmental and faculty level

(C) Responsibilities of the supervisor

(D) Responsibilities of the candidate

(E) Conflicts of interest

5.2.1 (A) Responsibilities at the institutional level

The University has the responsibility to ensure that appropriate policies are developed and implemented university-wide and within the faculties, schools, departments and centres of the University. This includes affiliated educational institutions and hospitals.

It must maintain a climate in which responsible and ethical behaviour in research is expected. The research governance framework of the University should ensure compliance with laws, regulations, guidelines and codes of practice governing the conduct of research

The University should ensure the following conditions are met:

5.2.1.1 Standards and requirements

• key documents on the responsible conduct of research including the Australian Code for the Responsible Conduct of Research and Monash's own guidelines on the conduct of research are readily accessible
• adequate and accurate information and induction procedures are provided
• there are clear guidelines for the pursuit of candidature including the thesis examination process and for examiners/adjudicators, outlining in particular the institution's expectations for research degrees
• a safe working environment in which to conduct research is maintained
• positive academic, departmental and faculty cultures are promoted for the benefit of research postgraduate candidates
• the University's administrative procedures assist candidates to complete their degrees as expeditiously as possible

5.2.1.2 Supervisors

• all supervisors are aware of the necessity to implement the University’s codes of practice for the conduct of research and are aware of the working procedures of the ethics committees
• adequate provision is made for staff development of supervisors and potential supervisors
• when the supervisor is no longer authorised, or able to continue in the role, the relevant academic unit must initiate procedures to identify and appoint a suitable replacement.

5.2.1.3 Annual reporting requirements

• there are annual faculty and/or Monash Research Graduate School reporting requirements for research masters and doctoral candidates, which enable both staff and candidate views to be adequately represented.

5.2.1.4 Access to resources

• the candidate, where necessary, has access to guidance and tuition in English language, computing, word processing skills, statistical advice and information resources
• there is access to physical space and appropriate research resources.

5.2.1.5 Intellectual property

• the intellectual property rights of all parties are protected.

5.2.1.6 Grievance procedures

• there are grievance procedures by which either the candidate or the supervisor may make representations as appropriate should significant difficulties arise
• there are appeals procedures setting out the grounds on which, and means whereby, candidates may appeal against the conduct and outcome of the examination and evaluation of their candidature.

5.2.1.7 Research misconduct procedures

• candidates are made aware of the University’s research misconduct guidelines and regulations
• there are clear guidelines for dealing with potential conflicts of interest.

5.2.1.8 Publication

• the University promotes an environment of honesty, integrity, accuracy and responsibility in the dissemination of research findings.

5.2.1.9 Data retention

• the University’s research data ownership policy on the safe and secure retention and disposal of materials and research data is widely disseminated.

5.2.2 (B) Responsibilities at the centre, school, departmental and faculty level

This category includes centres and schools which report to a faculty and which have been approved for the purposes of doctoral and research masters enrolment. This also takes in affiliated educational institutions,  and hospitals.

Normally, the following responsibilities would be undertaken by the associate dean responsible for research degrees (or the relevant faculty graduate studies committee) or departmental head (or the departmental graduate studies coordinator). Candidates are advised to familiarise themselves with the reporting lines and candidature guidelines in place for their faculty and academic unit.

The academic unit or faculty as appropriate should ensure that the following conditions are met:

5.2.2.1 Selection and admission procedures

• the candidate is appropriately qualified for admission to candidature
• the candidate appears to have the capacity required to undertake the course successfully and in reasonable time
• the research project proposed is appropriate for the degree
• the department is the most appropriate one in which the research is to be undertaken
• due recognition is given to the research interests and ability of the candidate in determining the project
• information is provided to prospective candidates about the research interests and experience of all staff in the academic unit.

5.2.2.2 Supervision arrangements

• the proposed supervisor is sufficiently expert and interested in the area of research to offer the candidate proper supervision
• the proposed supervisor has sufficient experience in recent supervision or has undergone professional development in this area
• the proposed supervisor is not a candidate for a research degree
• when a supervisor is no longer authorised, or able, to continue in the role the head must formally advise the candidate within 10 working days and initiate procedures to identify and appoint a suitable replacement in consultation with the candidate.

Note: Supervisors should not be a candidate for a degree except in special circumstances, and then only if the respective research areas of supervisor and candidate are sufficiently different to avoid any potential conflict of interest. For example, in exceptional circumstances, staff candidates under PhD regulation 5 (see Appendix A) may be permitted to supervise candidates in research areas other than that being pursued for their own candidature. Refer also to Part E of this code of practice.

5.2.2.3 Teaching load for academic staff

• the supervision of higher degree by research (HDR) candidates is appropriately identified in staff engagement profiles which manage the overall workloads for academic staff.

5.2.2.4 Workload of supervisors

• an inexperienced/ unaccredited supervisor will not normally supervise more than three individual HDR students. Supervision will be restricted to associate status (normally not more than 25 per cent of the supervision share) until the supervisor has attained level one accreditation
• a level one accredited supervisor will normally not supervise more than four full-time equivalent HDR students (or up to six individual students)
• a supervisor is not normally put in charge of more than eight full-time equivalent HDR students (or up to 12 individual students). Where it is proposed that a supervisor undertake supervision in excess of this number, the academic unit and faculty must satisfy the Research Graduate School Committee (for doctoral and MPhil candidates) or the relevant faculty committee (masters by research) that the additional supervisory load will still allow the supervisor to discharge satisfactorily the responsibilities set out in Part C of this code of practice
• in cases of poor supervision performance or serious violation of this code and on the advice of the Research Graduate School Committee, additional limits will be placed on the supervision level of an academic staff member, for a period of time deemed appropriate
• the workload of the supervisor is such as to allow sufficient time to give proper supervision to the candidate, according to the guidelines in this code of practice
• if the supervisor is to be temporarily absent in excess of six weeks, an alternative supervisor is appointed prior to the supervisor’s absence.

Note: A pro-rata supervision load applies for fractional staff.

5.2.2.5 Associate supervision

• appointments are made, where appropriate, for example in cases where: 
  • there is an associate supervisor to cover anticipated absences of the supervisor
  • the skills of the associate supervisor complement those of the principal supervisor
  • the position of associate supervisor provides professional development in research supervision    for  members of staff with limited experience in this field
  • the associate supervisor provides local academic support for candidates undertaking study away.

The respective responsibilities of main, sole or associate supervisor must be clearly designated and understood by both supervisors and candidates.

5.2.2.6 Coordinator of graduate studies

• an academic staff member within an academic unit is appointed to act as a coordinator of graduate studies, to monitor the general progress and welfare of postgraduate candidates, and in those cases where the graduate coordinator is head of the academic unit, there is another member of staff to provide an alternative avenue of consultation for candidates.

5.2.2.7 Provision of information on requirements and procedures

The appropriate academic unit (school, centre, faculty, department) should ensure that written information is produced and distributed to all postgraduate research candidates with details on requirements and procedures relating to all postgraduate matters administered at academic unit level including:

• a statement on the facilities and resources available to research postgraduates within the academic unit and within the university (for example the library, computing and technical facilities, word-processing training, statistical advice and English language tuition)
• a list of staff and research candidates and their areas of interest, to assist candidates in their selection of a supervisor
• university-wide guidelines on authorship and intellectual property, including the nature and scope of confidentiality agreements, and the procedures for monitoring same within the academic unit
• advice that the candidate’s program may not be unreasonably influenced or redirected by political, commercial or industrial factors and that publication may not normally be delayed beyond 12 months by external sponsors
• university-wide guidelines on the appropriate conduct of research
• guidance to students on communicating their research findings through the media
• academic unit/faculty/Monash Research Graduate School policy on the timing and mode of presentation of annual  reports by which a candidate’s progress is assessed
• academic unit/faculty procedures for the timing and mode of confirmation of candidature
• grievance and complaints procedures, whereby candidates may make representation to the head of the academic unit, appropriate officer and/or academic unit/faculty committee or university committee, if they believe that their work is not proceeding satisfactorily for reasons outside their control, especially in situations involving the problems of supervision or unresolved conflicts between candidates and supervisors
• a statement on safe storage and retention of the candidate’s research data for a period of not less than five years after acceptance of the thesis, and provision of facilities for same. Note: data retention guidelines in some research disciplines may exceed five years (see 5.2.4.6 and 5.2.3.18)

5.2.2.8 Consultation between faculty/academic unit staff and candidates

The appropriate academic unit (faculty/department/school/centre) should ensure that mechanisms are in place to promote regular consultation between academic staff and candidates, and which include:

• orientation programs at the academic unit or appropriate level for research postgraduates and their supervisors to clarify procedures, give advice and discuss the expectations of candidates and staff
• seminars on research procedures relevant to postgraduate-level research
• a regular program of graduate seminars in the academic unit's research areas
• training workshops on appropriate occupational health and safety procedures
• seminars on appropriate training in ethical issues and related procedures
• seminars and courses to provide information and skills development as well as opportunities for all candidates to participate in the intellectual and social life of the academic unit.

5.2.2.9 Human and physical resources

Research postgraduates are encouraged to make submissions regarding the provision of adequate human and physical resources within their academic unit. The research environment must be sensitive to cultural diversities and also to the special needs of students with disabilities. Candidates are advised that:

• the University’s minimum facilities guidelines for full-time on-campus students should be met, namely:
• furnished office/studio space, normally with 24-hour access
• mail box and secure storage space
• appropriate level of access to photocopying, printing and computer facilities, including software and internet access
• access to unlimited local and internal telephone and facsimile calls for work purposes, and access to international calls as determined by the academic unit.

5.2.2.10 Feasibility of research project

• the project is feasible in terms of time, facilities, equipment, technical and resource staff, source materials and funding for the expected duration of the research required for the degree.

5.2.2.11 Duration of candidature

• the expected duration of the candidature does not exceed four years full-time equivalent.

5.2.3 (C) Responsibilities of the supervisor

It is the responsibility of the supervisor to maintain a professional relationship at all times with the candidate.

The supervisor should ensure the following protocols are met:

5.2.3.1 University policy

• the direction of the work is entirely under the control of the University and candidate in accordance with University policy.

5.2.3.2 Guidance to candidate

• guidance is given about the nature of research and the standard expected, about the choice of research topic, about the planning of the research program and presentation of a research proposal, about literature and sources, attendance at taught classes where appropriate, and about requisite techniques and research methods and other relevant skills such as the ability to interact with industry and to work with diverse communities (including arranging for instruction where necessary)
• he or she is particularly sensitive to the need to ensure productive use of the candidate’s time, especially in the first year of candidature
• the candidate is encouraged to show initiative and self motivation so that he or she will be able to pursue independent research with confidence in the final stages of candidature
• help is given to the candidate to interpret and understand examiners’ reports and guidance as to how to meet their requirements.

5.2.3.3 Establishment of timelines

• detailed advice is given on the necessary completion dates of successive stages of work so that the whole may be submitted within the scheduled time
• a schedule of regular meetings (at least monthly for part-time candidates; every two weeks for full-time candidates) is established and maintained with the candidate and in the light of discussion with the candidate
• regular written work, interim reports or research results are requested, as appropriate and such work returned, including the final draft of the thesis, with constructive criticism normally within two weeks for chapter-length drafts and for longer pieces, as negotiated, but normally no longer than one month at most, or within a shorter timeframe which has been determined as appropriate within the academic unit.

5.2.3.4 Employment

The main supervisor must be satisfied that:

• part-time work proposed by a full-time candidate will not interfere with the progress of the research program, before the supervisor may approve such part-time work
• full or substantially full-time employment undertaken by a part-time student meets with the conditions of part-time candidature, including a period of on-campus residency.

5.2.3.5 Changes to supervisory arrangements

• where a change in research direction occurs, appropriate supervisory adjustments are negotiated.

5.2.3.6 Occupational health and safety

• the candidate is adequately trained in safe working practices relevant to the field of research and adheres to the guidelines established by the university’s Occupational Health and Safety Policy Committee and as adopted by University Council.

5.2.3.7 Responsible research practice and ethics

• the candidate and supervisor are aware of the ‘Code of Conduct for the Responsible Practice of Research’ and 'Procedures for dealing with Allegations of Research Misconduct’ published in the Research and Research Training Operational Manual, in particular of the need to follow ethical practices appropriate to the particular discipline and relevant profession, and as specified by the relevant University committees and the ethics guidelines set by any relevant funding body
• external mode and other candidates who are undertaking research as part of a joint project with a commercial or industrial partner observe both the ethics guidelines and occupational health and safety requirements of Monash and the other institution(s).

5.2.3.8 Ethics and safety clearances

• the candidate and supervisor meet all clearance requirements with respect to ethics in research on humans, animal experimentation, hazardous materials and biosafety.

5.2.3.9 Presentations

• arrangements are made, as appropriate, for candidates to make presentations of their research work at departmental, centre, institute, school or faculty seminars.

5.2.3.10 Meetings and candidate’s involvement in academic unit activities

• the candidate is encouraged to meet other researchers in the field and to attend meetings or conferences as appropriate
• the candidate plays a full and active role in the intellectual life of the academic unit. This is particularly important in the case of part-time candidature and also for those candidates whose major work is being conducted away from the university acadmic unit under external mode or in a joint project with a commercial or industrial partner.

5.2.3.11 Support services

• advice is given on the availability of relevant academic and other support services provided by the University.

5.2.3.12 Publication and co-authorship with candidates

• the candidate is encouraged, where appropriate, to publish and disseminate responsibly, the results of the research
• the candidate’s findings are accurate and reported appropriately
• the work of others is cited accurately
• the candidate is made aware that it is not acceptable to include the same research findings in several publications, except in particular circumstances such as review articles, anthologies, collections and translations; and the candidate therefore takes reasonable steps to obtain permission from the original publisher before republishing research findings
• the candidate is aware that a publication must include information on all sources of financial and in- kind support for the research and any potential conflicts of interest
• the candidate is made aware that his/her research  may not be unreasonably influenced or redirected by political, commercial or industrial factors
• the candidate is aware of the nature and scope of confidentiality agreements, the extent to which contractual arrangements may restrict, delay or limit publication (although not normally more than 12 months)
• that advice on communicating  one’s research through the media is available
• agreement is reached with the candidate concerning authorship of publications and acknowledgment of contributions during and after candidature. There should be open and mutual recognition of the candidate’s and supervisor’s contribution on all published work arising from the project. It should not be automatically assumed that the supervisor’s name or candidate’s name will appear on all such published work.

5.2.3.13 Peer Review

• the candidate is made aware of his/her obligations to participate in peer review and assistance is given to develop relevant skills

5.2.3.14 Intellectual property

• the candidate adheres to university policy and guidelines on intellectual property (see chapter 6 of this Handbook).

5.2.3.15 Progress reports

• the candidate is made aware of inadequate progress by the supervisor who specifies the problems and suggests ways of addressing them. If supervisors think they may become obliged to recommend that a candidature be terminated because of unsatisfactory progress, in accordance with part II of the university's doctorate regulations (see Appendix A  of this Handbook), the head of the academic unit must give the candidate a written warning to that effect
• reports are made regularly in writing, as required, on the candidate's progress to the head of the academic unit and to the Research Graduate School Committee or relevant faculty committee as appropriate.

5.2.3.16 Thesis preparation and presentation

• the thesis is properly presented
• the research and writing embodied in the thesis are that of the candidate except where due reference is made in the text
• the candidate has not presented in, or in support of the thesis work the candidate has previously presented for an award at Monash or elsewhere
• any assistance provided during the research phase, or any editorial assistance in the writing of the thesis, has been appropriately described and acknowledged
• where the thesis is based on conjointly published or unpublished work, both the extent and nature of the contribution of the candidate and other authors are stated.

5.2.3.17 Nomination of possible examiners

• the supervisor advises the head of the academic unit or dean of the names of possible examiners, after consultation with the candidate.

5.2.3.18 Retention of data

• original data is recorded in a retrievable, confidential, durable and appropriately referenced form and is stored safely for a period appropriate to the discipline, but in any case not less than five years from the date of publication. (Note however, that for specific types of research (eg clinical trials) 15 years or more may be appropriate. For areas such as gene therapy, and work that has community or heritage value, research data should be retained permanently)

5.2.3.19 Absence of the supervisor

• the supervisor must notify the candidate of his/her intention to go on leave for a period of two weeks or longer
• if the period of leave is longer than 6 weeks then an acting supervisor must be nominated.

5.2.4 (D) Responsibilities of the candidate

It is the responsibility of the candidate to maintain a professional relationship at all times with the supervisor and other University staff and in relation to the following protocol:

5.2.4.1 Regulations and guidelines

• be familiar with and adhere to the appropriate degree and academic unit  guidelines and other written information including national research codes of practice pertaining to research postgraduate work
• undertake induction, training courses, mandatory units as soon as practical after commencing the research project
• devote a minimum of the equivalent of 4 working days to their research each week if full-time and a minimum of 2 working days to their research each week if part-time.

5.2.4.2 Use of resources and facilities

• utilise the resources, facilities and opportunities available to facilitate progress in the research.

5.2.4.3 Academic Unit activities and meeting with other researchers

• contribute to the development of the intellectual community provided by the academic unit, and acquire or improve the skills and knowledge required for the completion of the project
• be aware of opportunities for meeting other researchers in the field and to attend seminars, meetings and conferences, as appropriate.

5.2.4.4 Safe working practices

• adopt at all times, safe-working practices relevant to the field of research and adhere to the guidelines established by the University’s Occupational Health and Safety Policy Committee, and as adopted by University Council.

5.2.4.5 Adherence to ethical practices

• adhere to research practices laid down in theAustralian Code of Conduct for the Responsible Practice of Research including other codes referred to in the national code and Procedures for dealing with Allegations of Research Misconduct published in the Research and Research Training Operational Manual (see chapter 11 for related links)
• follow ethical practices appropriate to the particular discipline and relevant profession, and as specified by the University’s Standing Committees on Ethics in Research on Humans, Animal Experimentation and Biosafety and the ethics guidelines set by any relevant funding body
• seek clarification and further information from the supervisor or other appropriate senior researcher on any aspect of research policy and conduct, if unsure
• where undertaking research as part of a joint project with a commercial or industrial partner, observe both the ethics guidelines and occupational health and safety requirements of the other institution(s)
• prior to disseminating the results of the research by publication or other means consult with, and obtain agreement of, the supervisor
• ensure the research is nor unreasonably influenced or redirected by commercial political, commercial or industrial factors.
  Refer to Section 5 (Publication and dissemination of research findings) and Section 6 (Authorship) of  Ausralian Code for the Responsible Conduct of Research.
• Develop a personal ethos of appropriate research practices and conduct

5.2.4.6 Retention of data

• ensure that original data is recorded in a retrievable, durable and appropriately referenced form and stored safely for a period appropriate to the discipline, but in any case not less that five years from the date of publication. (Note however, that for specific types of research (eg clinical trials), 15 years or more may be appropriate).

5.2.4.7 Meetings/communications with supervisor(s)

• initiate discussions or communications with the supervisor and any associate supervisor(s) on the type of guidance and comment considered most helpful, and agree to a schedule of meetings which will ensure regular contact
• notify supervisors of any planned leave or any unexpected absences from the academic unit 
• negotiate any planned leave with the supervisor and notify the supervisor when intending to leave the country
• discuss with the supervisor, graduate co-ordinator and Associate Dean (Research Degrees) if there are any concerns with regard to current supervision arrangements and any intention to investigate new supervisory arrangements prior to approaching potential replacement supervisors.

5.2.4.8 Meetings/communications with supervisor(s) in the case of external candidature

• negotiate with the supervisor an effective means of routine and rapid communication and a schedule of on-campus attendance or equivalent research activities, such as attendance at a conference when the supervisor is also present, thus ensuring that the candidate is able to participate in, and contribute to the intellectual life of the acadenic unit.

5.2.4.9 Employment

• before accepting employment, consult with and gain approval of the main supervisor to ensure such work does not unduly impede the research work and that it meets the University’s employment guidelines for HDR students.

5.2.4.10 Grievance procedures

• take the initiative in raising problems or difficulties and seek solutions to these problems
• be aware of departmental grievance procedures, but seek negotiated solutions to any problems before recourse to those procedures (see chapter 8 of this Handbook).

5.2.4.11 Documentation of progress

• document the progress of the work as agreed with the supervisor, and present written or other material including confirmation of candidature as required, in sufficient time to allow for comments and discussions before proceeding to the next stage
• provide, in association with the supervisor, an agreed formal report to the Research Graduate School Committee or relevant faculty committee, and other reports as required. It is the responsibility of the candidate as well as the supervisor, to bring to the attention of the Research Graduate School Committee any problems and difficulties that may have hindered the progress of the research.

5.2.4.12 Examination

• prepare the thesis for examination, including arrangements for its production, proof reading, and binding after consulting with the supervisor, as appropriate, regarding matters of style and presentation
• ensure the research and writing embodied in the thesis are that of the candidate except where due reference is made in the text
• do not present in or in support of the thesis work the candidate has previously presented for an award at Monash or elsewhere
• acknowledge and describe any assistance provided during the research phase or any editorial assistance in the writing of the thesis
• where the thesis is based on conjointly published or unpublished work, state both the extent and nature of the contribution of the candidate and other authors.

5.2.5 (E) Conflicts of interest

Academic units, candidates and supervisors of candidates should be aware of potential conflicts
of interest relating to research and to the candidate-supervisor relationship.

Conflicts of interest are defined as situations where there exists or where there appears to exist a divergence between the interests of the supervisor and those of the candidate, or between the interests of the candidate and supervisor and those of the University, such that an independent observer might reasonably question whether the professional actions or decisions of that person have been influenced by his or her own interests.

Potential conflicts of interest in relation to:

5.2.5.1 Affiliation/financial involvement related to research project

• require candidates and their supervisors to make full disclosure to each other and to their respective academic unit(s) of any affiliation or financial involvement with any organisation sponsoring or providing financial support for a project undertaken by the candidate. Financial involvement includes direct financial interest, provision of benefits (such as travel and accommodation) and provision of materials or facilities.

5.2.5.2 Participation of candidate in submission of grant or funding application

• require candidates and their supervisors to ensure a student’s involvement in preparation of a grant application does not impede progress in the research degree
• require candidates to be:
• informed of the progress of the grant application, and in the event that such an application is successful
• involved in negotiations which may include for example, continued participation in a project where a chief investigator relocates elsewhere and
• informed of all key decisions with respect to the discharge of the obligations of a successful grant application.

5.2.5.3 A supervisor overseeing the employment of a candidate

• require academic units to be aware of the potential conflict of interest that may arise where a supervisor oversees the employment of a candidate as a staff member of the University, whether this be in a teaching role or other capacity, and have in place mechanisms to allow recourse for candidates in the event that such conflict interferes with the progress of the research program.

5.2.5.4 Relationships between supervisors and candidates

• require acadenic units not to appoint a supervisor who is a relative or close associate (for example a friend, spouse or business partner) of the candidate and which could give rise to undue advantage or disadvantage to the candidate. Should a closeness of association subsequently develop during the course of the candidature, the academic unit would normally make arrangements for alternative supervision if such association could give rise to undue advantage or disadvantage to the candidate in relation to the candidature.

5.2.5.5 Relationships between examiners, candidates and supervisors

• require academic units not to nominate an examiner who is a relative or close associate (for example a friend, spouse or business partner) of either the candidate or supervisor and which could give rise to undue advantage or disadvantage to the candidate.

5.2.5.6 Academic decision-making and awarding of financial and material assistance

• prohibit a staff member from participating in academic decision-making and assessment procedures (including the determination of a final result) for a relative or close associate, nor having involvement in the awarding of grants, scholarships and other forms of financial and material assistance to such persons.

5.2.5.7 Privileged relationships between supervisors

• necessitate the need for academic units to be aware of privileged relationships between prospective supervisors (such as marriage or other close personal relationships) which might potentially create a conflict of interest in their supervision of the candidate. Where possible, the appointment of supervisors having privileged relationships should be avoided.