Supervision Principles and Guidlines

Principles

1. Importance of Clearly Identifying a Supervisor

One of the most important aspects of graduate training is the timely, clear identification of a Supervisor for each graduate student. Although there are wide variations in the pattern of finding such a Supervisor, it is this individual who plays a key role in the direction of the graduate student's research. Although reasonable effort will be made to accommodate individual student research preferences, the graduate program cannot guarantee to provide a particular supervisor, nor to accommodate every topic of research that might be proposed by a graduate student. As one illustration, some programs may only accept students to work on specific projects that are funded by a faculty member's research grant or contract-based funding.

2. Importance of Continuity of Graduate Supervision

The relationship between the student and supervisor is one of the most important to the student's successful completion of the degree. Continuity of supervision is an integral component of this relationship, and is thus extremely important in all aspects of graduate work. As a consequence, a change in supervisor is usually made only in exceptional circumstances, based upon strong and compelling reasons (e.g., major academic disagreements and/or interpersonal conflicts that are irreconcilable), following appropriate consultation by all parties involved. It is further recognized, however, that some programs may place each new incoming student with an initial or temporary supervisor. In these cases, a subsequent timely change in supervisors, as the student clarifies research interests, is generally a routine matter.

3. Importance of Intellectual Debate and Challenge

Intellectual debate is a fundamental component of university activity. Thus, every effort should be made by both the student and supervisor to recognize and acknowledge that a robust element of academic challenge and questioning is a normal, and indeed, healthy aspect of the student-supervisor relationship. On occasion, however, fundamental differences in academic substance, style, or philosophy may emerge between student and supervisor, rendering further intellectual debate counter-productive. Thus, reasons for supervisor change may involve substantial professional academic disagreements between a student and supervisor that, after reasonable attempts at resolution, remain unresolvable.

4. Importance of Maintaining an Academic Professional Student-Supervisor Relationship

The relationship between supervisors and students, however friendly and supportive it may become, should always be essentially an academic and professional relationship. Relationships which are at odds with an arm's length criterion (e.g., romantic, sexual, family ties), are unacceptable between supervisors and students. On occasion, major interpersonal conflicts may emerge between student and supervisor, or there may be a substantial conflicts of interest (e.g., with supervisors involved in a dual role capacity, such as having financial and/or business arrangements with the student, as well as being the graduate supervisor). Thus, reasons for supervisor change may involve major interpersonal conflicts that are irreconcilable, or serious conflicts of interest situations that preclude the continuation of effective supervision.

5. Importance of Supervision

It is recognized that conflict between students and supervisors may be minimized if several steps are taken to promote good practices in graduate supervision. Such practices include the establishment and maintenance of open lines of communication between the student and supervisor, and an understanding of (and adherence to) the guidelines specifying the roles and responsibilities of the various parties involved in graduate supervision (i.e., students, supervisors, supervisory committees and graduate programs). Explicit discussions with new and continuing graduate students and graduate faculty involving issues of authorship, intellectual property ownership, and clear expectations regarding academic performance and timelines for thesis progress and completion, may prove highly beneficial in minimizing the subsequent occurrence of conflict situations.

6. Importance of Resolving Conflicts at the Lowest Level Possible

Conflicts should be resolved, whenever viable, as close as possible to the source of the problem (i.e., at the lowest level of administration). Thus, in the first instance, the student and supervisor should discuss problems frankly and seek solutions. If need be, this level may also involve the supervisory committee. If the problem cannot be resolved at the student-supervisor level, it should be dealt with by the program (i.e., typically, the graduate chair and/or department chair). At both the student-supervisor and program levels, assistance can also be sought through other sources, such as equity services, the ombudsperson, or other forms of mediation. Informal advice at each of these levels can also be obtained from the School of Graduate and Postdoctoral Studies. Each level should make sure all reasonable efforts have been exhausted, prior to moving to the next level. If no satisfactory resolution can be found at the program level, the problem may be referred to the School of Graduate and Postdoctoral Studies. In dealing with conflict issues, all parties should follow procedures congruent with established appeal policies.

7. Importance of the Program Attempting to Secure Alternative Supervision in Cases where Student Performance is Satisfactory

In cases of unresolvable conflict, and providing that the student is continuing to meet all program requirements and is making satisfactory academic progress, it is the program's responsibility to make its best efforts to attempt to secure alternative supervision for the student, and to help the student complete the program in as timely a fashion as possible. As one illustration, a change in research interests on the part of the student can sometimes be accommodated by a program finding another supervisor willing to take on this responsibility. If, however, the new area of research interest is outside of the areas of expertise of available members of the program available to supervise, it may not be possible for the program to accommodate this requested change. In attempting to secure alternative supervision for a student, the program should also consider and resolve, to the satisfaction of all parties involved, a number of key issues, including (1) a clear specification of remaining program and thesis requirements, (2) a revised schedule for the timely completion of these requirements, (3) new funding arrangements for the student where applicable, (4) intellectual property and publication/authorship issues, and (5) continuity of the former supervisor's research program. If, however, during a conflict situation, the student withdraws from the program for any reason, such as failure to register, or to pay fees, etc., then it is not the responsibility of the program to attempt to secure alternative supervision.

8. Importance of Minimizing any Negative Consequence of Conflict on the Student's Career

Every effort should be made both during and following the conflict resolution process to ensure that a change of supervision has a minimal negative effect on the student's career. Thus, any possible negative effects relating to a change in supervisors should not be reflected in subsequent evaluations of course work, student evaluations for awards, letters of recommendation, etc., for potential employment opportunities, or in the assignment of teaching assistantships, etc.

Guidelines

The program should implement and follow the policies of the School of Graduate and Postdoctoral Studies.
Programs should provide sufficient information in the letter of offer of admission to new graduate students. This would include, for example, details about means of support (e.g., TA, scholarship, supervisor funding), amount of funding, time of funding, and any initial program expectations. Information should also be provided regarding supervisor arrangements, including the assignment of supervisors, or availability of potential supervisors and their research areas.
Programs should provide orientation/information sessions for both new and continuing graduate students. Information conveyed in these sessions might include: overviews of program policies and requirements, areas of expertise of faculty members for research supervision, expected performance and time-lines for completion of degree requirements, intellectual property policies, publication and authorship issues, scholarship and funding information, TA information (and for international students, information about visa requirements and employment regulations), information on policies regarding the proper conduct of research, sexual harassment and race relations, AIDS policies, information about safety and work place regulations, procedures for complaints and appeals, and information on help lines, advisory offices, and counseling services.
The program should ensure that each new graduate student has an identified supervisor (or interim supervisor/program consultant) as soon as possible after starting the program. The program should also ensure that the supervisory committee is in place at the appropriate point in time.
The program shall ensure that arrangements are made for an alternate supervisor if the regular supervisor either departs or is absent for an extended period.
The program should provide students with written guidelines of program policies and notification of any changes.
The program should assess and review each student's academic and research progress, at least on an annual basis. This review would include such factors as performance on course work and Ph.D. comprehensive examinations, and thesis progress. The program should provide feedback which may include specific goals and time-lines for completion of various components of degree requirements. Feedback may also take the form of a written contract of expectations. Areas of concern and lack of progress must by clearly identified for the student.
The program should identify paths/resources available to students for assistance, and if they wish to raise concerns about their program, supervisor, etc.
The program should encourage open communication and feedback between students and supervisors on all issues, including supervisory practices.
The program should strive to maintain an atmosphere conducive to scholarly work by graduate students, and help enhance their creativity and productivity.
The program should provide mechanisms for monitoring/resolving problems which may arise between graduate students, supervisors, and members of supervisory committee, and do so in a timely fashion. Programs should further ensure that these mechanisms are congruent with established appeals policies and procedures.
The program should ensure a safe working environment for students, and inform them of all relevant safety and work regulations.
The program should ensure that a supervisor takes on only as many graduate students as he/she can properly supervise.
The program should ensure students are aware of evaluation criteria for all work before work commences.