Chapter 5: Supervision of doctoral and research master’s candidates

5.1 Appointment of supervisors

5.1.1 Number of supervisors

From 1 January 2012 all new PhD and research master's candidates at the University require two supervisors, with the exception of research master's degrees in the Faculty of Art, Design & Architecture (this requirement will take effect in this faculty on 1 January 2014).

5.1.2 Membership of the Monash University Institute of Graduate Research (MIGR)

From 1 July 2012 all newly assigned supervisors of graduate research candidates at Monash are required to be members of MIGR. An exception to this requirement is that staff who are not members of MIGR can be an associate supervisor for up to 25 per cent of load for each of up to three candidates. Supervision load limits are determined by a supervisor’s MIGR membership status, together with their level of accreditation.

Membership is determined on a number of criteria (see Section 5.1.2.1 below) including a requirement for members to be research active according to their own faculty’s or campus’ definition.

5.1.2.1 Criteria for MIGR membership

The criteria for full MIGR membership are:

  • achievement of research active status for the purpose of graduate research supervision, according to faculty-determined thresholds (Monash only);
  • an appropriate track record of supervision;
  • satisfactory completion of the appropriate Monash University Supervisor Accreditation Training modules or recognised equivalent.

Minimum levels of research activity for the purposes of HDR supervision (Monash only) are defined by each faculty, and where relevant, campus, and include measures of publication activity and/or research income. Levels of research activity are proposed and monitored by faculties, reviewed as part of the five-year Graduate Research Program Review cycle, and approved by the Graduate Research Committee (GRC).

All supervisors accredited on 1 July 2012 will be assessed against these criteria for membership of MIGR, and thereafter every five years.
The MIGR Office will assess requests for MIGR membership in conjunction with supervisor accreditation. Requests are considered upon completion of the relevant supervisor accreditation training (Monash only).

Members who apply to move from Supervisor Accreditation Level 1 to Level 2, or from Level 2 to Level 3, will be re-assessed against the relevant research criteria and, if eligible, be granted membership at the higher Supervisor Accreditation Level for five years.

5.1.2.2 Staff categories and membership

Academic or adjunct staff who wish to supervise candidates at more than 25 per cent load at the University must be a MIGR member. Those who do not meet the requirements for membership of MIGR may supervise no more than three candidates up to 25 per cent load.

Emeritus professors will occupy a special category of MIGR membership which acknowledges the significant contribution made by them in the past. Emeritus Professors will remain members of MIGR for five years following their retirement and longer if they continue to meet the active researcher criteria. They will be supported to see existing supervision arrangements to completion after five years have elapsed.

External supervisors who wish to supervise candidates at more than 25 per cent load at the University must be an associate member of MIGR. External supervisors may become associate members of MIGR at the discretion of the Membership Sub-committee.

5.1.3 Supervisor accreditation

Supervisor accreditation at the University is based on experience and/or training. There are three levels of accreditation.

Accreditation at Levels 1, 2 or 3 does not, in and of itself, qualify supervisors for membership of MIGR (see Section 5.1.2.1). Also, the number of candidates able to be supervised (load limit) is determined by a supervisor’s level of accreditation and MIGR membership status (Monash only); new Monash University staff with extensive supervision experience and a proven track record may be offered accreditation and membership upon application (Monash only). The level of accreditation is dependent on the applicant’s supervision history.

5.1.3.1 Main supervisor

The main supervisor of any candidate must be a member of the University’s academic staff who has appropriate research experience, a continuing active involvement in research and will normally be a member of the academic unit through which the candidate is enrolled. A main supervisor must also be accredited at Level 1, 2 or 3 in the Monash University Research Supervision Accreditation Program and be a member of MIGR.

Emeritus members may be appointed as main supervisors, provided that they are undertaking teaching and research responsibilities normally expected of a member of the University’s academic staff.

Adjunct staff members may be appointed as main supervisors where they:

  • are undertaking teaching and research responsibilities expected of a member of the University’s academic staff;
  • qualify for membership of MIGR; and
  • are Monash-accredited and locally based (within commuting distance to the candidate’s campus of enrolment). If residing interstate or overseas, the adjunct staff member cannot be the main supervisor, but can be an associate supervisor with up to 25% supervision load.

A research fellow may only be appointed as a main supervisor where the GRC is satisfied that:

  • the fellow qualifies for membership of MIGR; and
  • the period of tenure of the fellowship would be likely to exceed the period of doctoral or research master’s candidature;

Occasionally joint supervision is required. Joint supervision is defined as having two supervisors each with 50% responsibility. However, one of the supervisors must be given primary authority to decide on a course of action in the event that the two supervisors disagree. This supervisor will also assume responsibility for the authorisation of all matters relating to the candidature, for example, milestone reviews, variations to candidature/scholarship and/or thesis submission (Monash only).

It is expected that a supervisor will be available for the duration of the candidature. Where this is not the case, such as an academic staff member being on contract or eligible to retire, another supervisor should be appointed.

In exceptional circumstances the GRC may appoint a supervisor external to the University as the main supervisor. The external supervisor must also be a MIGR member (see Section 5.1.9). This would require a Monash academic staff member to be appointed as an associate supervisor. In this situation, the associate supervisor would handle administrative matters relating to the candidature.

5.1.3.2 Associate supervisor

An associate supervisor need not be a member of the academic staff but should be of recognised standing in the relevant field of research.
The supervisory team and the candidate must all be aware of each supervisor’s clearly defined responsibilities.

Associate supervisors who do not qualify for MIGR membership may supervise up to three candidates and no more than a total of 0.75 EFTSL.

5.1.4 Staff candidates as supervisors

Staff members who are themselves graduate research candidates may not supervise other candidates. However, in exceptional circumstances, an academic staff member who is a candidate may be permitted to supervise candidates in research areas other than that being pursued through his or her own candidature.

5.1.5 Temporary supervisor

Temporary supervision arrangements are the responsibility of each academic unit authorised to host graduate research candidates. Faculties must determine whether temporary supervision records will be kept at the faculty or academic unit level as these will not be maintained by the MIGR Office.

A temporary main supervisor must be appointed where the main supervisor will be absent for a period of between six weeks and six months. If the main supervisor is planning to be absent for more than six months, a permanent replacement for the main supervisor should be appointed. The main supervisor may remain as an associate supervisor, and supervision arrangements can be reviewed when the main supervisor returns.

The associate supervisor may act as the temporary main supervisor when:

  • the associate supervisor is a MIGR member and has sufficient time to provide full supervision;
  • the main supervisor is absent for a period of up to six months.

The main supervisor will normally continue to maintain regular email contact with the candidate during his/her period of absence.
If the associate supervisor is not a MIGR member, an alternative temporary main supervisor must be appointed.

The candidate must maintain regular contact with the temporary main supervisor, at least once per fortnight for full-time candidates and once per month for part-time candidates. The temporary main supervisor must assume responsibility for sign-off on all matters relating to the candidature, for example confirmation of candidature, variations to candidature/scholarship or submission of thesis (Monash only).

5.1.6 External supervisors

Associate MIGR membership is required of all newly assigned external supervisors who will supervise at a capacity greater than 25 per cent. This is to ensure that all research candidates are supervised by the most suitably qualified academics and research professionals.
External supervisors may become associate members of MIGR at the discretion of the Membership Sub-committee. External supervisors with supervision experience and proven research activity may be offered Associate MIGR membership upon application.

5.1.7 Supervision of external candidates

Supervision of external candidates should be conducted according to the Guidelines for Remote Supervision. Regular communication between an external candidate and their supervisors should take place every two weeks (full-time candidates) or at least once every calendar month (part-time candidates). The GRC must also be assured that the candidate and supervisors are able to communicate daily if required.

In the case of a candidate enrolled externally in a laboratory-based discipline, an on-site supervisor must be appointed. If the appointment is greater that 25 per cent, associate membership will be required. This appointment is in addition to the Monash University supervisory team.

5.1.8 Supervision load

It is recognised that different supervision loads may be appropriate at different stages of a staff member’s academic career. Whilst the University requires each candidate to have a minimum of two supervisors, when determining the supervisory team’s commitment to the candidate the following should be considered:

 

  • supervisory roles should be determined in consultation with the candidate;
  • appropriate expertise relevant to the research project should be available;
  • capacity to supervise must be determined according to the MIGR membership and current accreditation level.

MIGR members who are accredited as Level One supervisors (Monash only) will not normally supervise more than four EFTSL or up to six individuals until they have achieved three successful thesis completions as a main supervisor or have completed Level Two (Monash only) of the Research Supervisor Accreditation Program and an equivalent advanced supervision training program as may be required.
MIGR members who are fully accredited Level Two supervisors may not supervise more than the equivalent of eight EFTSL or up to 16 individuals.

Level 3 accreditation has been introduced to allow a small number of supervisors who have reached 80 per cent of their capacity at Level 2 to extend the cohort they supervise to a maximum of 10 EFTSL or up to 20 individuals.

For more information on the rules for attributing supervision load limits and supervision percentages refer to the table below.

MIGR Membership Type Definition Maximum supervision capacity
Non-MIGR member Research supervisor accreditation rules
  • Has had no candidate completions and has not yet completed the Monash University Research Supervision Accreditation Program; and/or

Research activity requirements

  • Is not research active according to the relevant faculty benchmarks
Candidate capacity:
  • No more than 0.75 EFTSL with a maximum of 3 candidates

Supervision status:

  • Associate supervisor (maximum percentage per candidate should not exceed 25%)
MIGR member
associate (for non-Monash University staff only)		 Research supervisor accreditation rules
  • Has the equivalent Monash University Research Supervision Accreditation; and

Research activity requirements

  • Is research active for the purpose of supervision according to the relevant faculty benchmarks
Candidate capacity:
  • May supervise at a load greater than   0.25 EFTSL with a maximum of 0.50 EFTSL

Supervision status:

  • External supervisor (maximum percentage should not exceed 50%)
MIGR member level 1 Research supervisor accreditation rules
  • Has completed all 9 modules of level 1 of the Monash University Research Supervision Accreditation Program; or
  • supervised 1 doctoral candidate from commencement to successful completion; or
  • applied for exemption, and been deemed level 1 accredited by MIGR

Research activity requirements

  • Has met the benchmarks set for the purpose of MIGR membership

Candidate capacity:

  • No more than 4 EFTSL with a maximum of 6 candidates

Supervision status:

  • Main supervisor
MIGR member
level 2

Research supervision accreditation rules

  • Has completed five level 2 master classes of the Monash University Research Supervision Accreditation Program; or
  • supervised, as a main supervisor for three or more candidates at Monash University from commencement to successful completion; or
  • applied for exemption and been deemed level 2 accredited by MIGR

Research activity requirements

  • Has met the benchmarks set for the purpose of MIGR membership
 Candidate capacity:
  • No more than 8 EFTSL with a maximum of 16 candidates

Supervision status:

  • Main supervisor

MIGR member
level 3

Research supervision accreditation rules

  • Is  at 80% level 2 capacity;
  • has a 70% successful completion rate;
  • supervised at least 10 graduate candidates to successful completion; and
  • applied for level 3 consideration and been deemed to have met the necessary criteria by the MIGR Membership Sub-committee

Research activity requirements

  • Has met the benchmarks set for the purpose of MIGR membership

Candidate capacity:

  • No more than 10 EFTSL with a maximum of 20 candidates

Supervision status:

  • Main supervisor
MIGR member
Emeritus
  • Acknowledges the significant contribution made by Emeritus Professors in the past. Emeritus Professors will remain members of MIGR for 5 years following their retirement and longer if they continue to meet the active researcher criteria. They will be supported to see existing supervision arrangements to completion.
 Candidate capacity:
  • As per relevant accreditation level

Supervision status:

  • Main supervisor

5.1.9 Governance

The MIGR Membership Sub-committee (Monash only) provides oversight of MIGR membership and rules. The Sub-committee has discretionary authority to approve membership for individuals based on its consideration of a recommendation from the respective Associate Deans (Research Training). This discretionary authority may be delegated to the Chair of the Sub-committee in some instances.

5.1.10 Supervisor performance

In a very small number of cases, concerns may be raised in relation to the quality of supervision. These may range from general issues of perceived poor supervision to alleged serious breaches of the Code of practice for supervision of doctoral and research master’s candidates. These concerns may come from a range of different sources, including the candidate, the head of the academic unit or the MIGR Office.

Such cases would normally be referred to the relevant faculty dean and appropriate action may be taken, in accordance with the Code of practice for supervision of doctoral and research master’s candidates and/or the Monash University Enterprise Agreement.

5.1.10.1 Supervisor deregistration or non-renewal of MIGR membership

MIGR membership will be reviewed every five years. Intervention processes will be employed for supervisors identified as at risk of losing their membership. This process is overseen by the MIGR Membership Sub-committee.

In some instances, supervisors who are members of MIGR may face deregistration or non-renewal of membership. MIGR may regard the concerns to be serious enough to warrant a reduction of or limitation to the number of candidates a supervisor can supervise for a period of time until the concerns have been addressed. In this instance the MIGR Membership Sub-committee, or similarly constituted panel, would make a recommendation to the GRC.

Research supervisors subject to a reduction of or limitation to the number or level of candidates supervised should be provided with a range of services to assist their development of supervision skills and practices.

Supervisors who are members of MIGR may face deregistration or non-renewal of membership for either:

  • poor quality supervision; or
  • failure to maintain ‘active researcher status for the purposes of supervision’.

This section elaborates further on the processes to be followed if a supervisor is at risk of losing their membership status due to an allegation of poor quality supervision.

As required by the policy framework the intervention strategies aim to engender a culture of problem solving and rehabilitation of membership status if possible. The MIGR Membership Sub-committee will oversee these processes.

Intervention processes – poor quality supervision
The intervention process surrounding supervisors who may be ‘at risk’ of losing their membership for poor supervision of their graduate research candidates will consist of:

  • Identification as being at risk through either:
    • the receipt of three independent complaints about the supervisor from candidates
    • an extremely poor ratio of discontinuing and transferring candidates to completing candidates. (The proposed threshold to define unsuccessful completions is set out in the Deregistration or Non-renewal of Membership (Monash only) policy.)
  • Request to the relevant Associate Dean to investigate and report on the circumstances surrounding the complaints/high number of unsuccessful completions. This will include consultation with the supervisor and previous and current candidates as appropriate.
  • Review of this report by the MIGR Membership Sub-committee to inform its decision about whether to proceed with one or more of the following actions:
  • meeting of the supervisor convened by the PVC (R&RT) or nominee and including the relevant Associate Dean (Research Training) or nominee;
  • interviews with the supervisor’s students;
  • temporary freeze on new supervision arrangements and establishment of the Performance Development Plan for the supervisor with specific timelines according to established guidelines (developed in consultation with Human Resources Division);
  • review of the plan after six months;
  • re-instatement of the supervisor’s eligibility for further supervisions or extension of plan for review in 12 months.

Intervention processes – loss of active researcher status
A parallel process will apply to supervisors who no longer meet the ‘active researcher status for the purposes of supervision’ criteria. Monitoring for the ongoing attainment of active researcher status will occur as part of the initial membership of MIGR, and then every five years. In addition, members who apply to move to a higher level of MIGR membership will be re-assessed as part of the approval process.

Threshold to define unsuccessful separations
As stated above, one of the reasons why supervisors may face deregistration or non-renewal of MIGR membership is for poor supervision. This includes having an extremely poor ratio of discontinuing and transferring candidates to completing candidates.

The threshold to identify supervisors whose membership of MIGR is at risk for poor supervision is based on a ratio of discontinuing and transferring candidates compared to candidates who complete satisfactorily. Whenever a supervisor reaches the defined threshold it will trigger an investigation by the MIGR Office and the implementation of support interventions where appropriate.
For this purpose:

  • an ‘unsuccessful separation’ is defined as a withdrawal, discontinuation, exclusion due to lack of progress, transfer to another institution, request to change supervisor or examination failure;
  • the threshold is based on the percentage of the supervisor’s candidates who have not completed due to withdrawal, discontinuation, exclusion due to lack of progress, transfer to another institution, request to change supervisor or examination failure.

This threshold begins at 75% for those who have had a total of six completions and/or unsuccessful separations. The threshold decreases by 1% with each successive completion or unsuccessful separation (as set out in Table 1).

Outcomes will be analysed for all primary supervisors and co-supervisors (at least 50%). Outcomes occurring less than six months into candidature will be excluded from the calculation.

Total number of completions/separations Number of completions Number of unsuccessful separations Threshold=% unsuccessful separations
6 2 4 75%
7 2 5 74%
8 3 5 73%
9 3 6 72%
10 3 7 71%
11 4 7 70%
12 4 8 69%
13 5 8 68%
14 5 9 67%
15 6 9 66%
16 6 10 65%
17 7 10 64%
18 8 10 63%
19 8 11 62%
20 9 11 61%
21 9 12 60%
22 10 12 59%>
23 11 12 58%
24> 11 13 57%
25 12 13 56%
26 13 13 55%
27 13 14 54%
28> 14 14 53%
29 15 14 52%
30 16 14 51%
31+ 16+ 15+ 50%

Table 1
Threshold (% of unsuccessful separations) used to identify ‘at risk’ graduate research supervisors.

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