Supervising Graduate Students Dr Joanna Harrington, Associate Dean

Faculty of Graduate Studies and Research, June 2014 jharrington.fgsr@ualberta.ca

1.  The role of FGSR 2.  The role of the department 3.  The role of the supervisor 4.  Tips for success 5.  Tracking progress 6.  Quality of supervision 7.  Sabbaticals, leaves and acting supervisors 8.  Maintaining open communications 9.  Dispute resolution 10. Dealing with the difficult student 11.  Campus resources to assist graduate students 12. Legal obligations 13. Publication practices and intellectual property issues

Topics covered in this presentation

All graduate students are members of the Faculty of Graduate Studies and Research. FGSR is their “home Faculty”.

It is the job of FGSR to ensure the application of academic standards for admission, progression and graduation; promote quality assurance and encourages best practices; and safeguard the interests of both departments and graduate students.

Guidance on the standards applied by FGSR can be found at www.gradstudies.ualberta.ca

The role of FGSR

The department (or Faculty where non-departmentalized) provides the day-to-day supervision for a graduate student’s program of studies.

The department liaises with FGSR through the faculty member holding the post of graduate coordinator (a.k.a. Graduate Chair, Associate Chair (Graduate Studies), Associate Dean (Graduate Studies), or Director). Graduate coordinators also serve as a source of guidance for supervisors and supervisory committee members.

With policy changes adopted by FGSR Council in May 2013, persons are approved to serve as supervisors by the Dean (or delegate) of the Faculty that offers the graduate program. Supervisory and examination committees are also approved in-house. However, FGSR continues to handle matters of academic standing, which means that only an FGSR Dean or Associate Dean can make a decision to terminate a student’s program, based on a recommendation from the department.

The role of the department

Section 200.2.2. of the University of Alberta Calendar, and section 1.2 of the Graduate Program Manual (GPM), provide a useful summary of the key duties of a supervisor. The supervisor :

o  assists the graduate student in planning a program of studies; o  ensures that the student is aware of all program requirements,

degree regulations, and general regulations of the department and the Faculty of Graduate Studies and Research;

o  provides counsel on all aspects of the program of studies; o  Ensures that students conduct their research in a manner that is as

effective, safe, and productive as is possible; and o  stay informed about the student's research activities and progress.

Role of the supervisor

Both the Calendar and the Graduate Program Manual require the supervisor to “prepare a program of studies for the student, arrange for and attend all supervisory committee meetings and examinations, ensuring that these are scheduled and held in accordance with FGSR regulations, and must review the thesis both in draft and in final form.”

It is also expected that a supervisor will provide appropriate guidance to the student on the nature of the research to be conducted and the standard expected throughout the program of studies. A supervisor is also expected to be accessible to give advice and constructive feedback.

Supervisors should respond promptly to the submission of written work related to a thesis with constructive suggestions for improving the work.

Role of the supervisor

For doctoral students, a supervisor should work with the student to establish the supervisory committee as soon as possible after the start of the program, and ensure that it maintains contact, and formally meets at least once a year, with the student. Efforts must be made to address any major discrepancies in advice given by the committee members.

It is the responsibility of the supervisor, not the student, to set up committee meetings and examinations. One can determine the timing in consultation with the student.

A supervisor is also expected to maintain open communication with the student concerning any problem; and in the event of a conflict in the supervisor-student relationship, to discuss the issues with the student and graduate coordinator in a timely fashion.

Role of the supervisor

Departments must choose students carefully. Good quality admission decisions lead to good quality results. Once admitted, a student has both rights as well as responsibilities.

Ideally, a supervisor should be appointed at the time of the student’s arrival at the University of Alberta, and a permanent supervisor should be appointed within the first 12 months. The timely, clear identification of a supervisor has been proven to be one means of facilitating success.

Hold regular meetings. Document those meetings (paper file or email)

If applicable, discuss funding on a regular basis to make sure that the reality and the student’s expectations are the same.

For doctoral students, pay attention to the three-year rule for all program requirements, other than the thesis: see Calendar, section 204.7.1.

Tips for success

Provide regular evaluations of a graduate student’s progress and academic performance. Define the terms on which you will hold meetings with the student for purposes of evaluation and feedback.

Be honest when work is under par. Address problems early. Dealing with inadequate academic performance can be difficult, but it is in no-one’s best interests to prolong a program of study when success is unlikely.

Assist the student in developing a plan with clear milestones and deadlines. Work with the student to ensure completion on a timely basis. Advise the student on how to define a manageable research topic, develop a research plan, write the thesis, and prepare for the defence.

Discuss the degree of independence expected of the student.

Tips for success

Try promoting a flexible process that focuses on scholarship and develops critical and independent thought.

“Intellectual debate and challenge should be encouraged and supported. Intellectual debate is a fundamental component of university activity. Every effort should be made by both the student and the 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”: CAGS Guidelines 2008 (http://www.cags.ca/).

Provide mentorship by providing guidance on such matters as scholarship applications, presenting at conferences and getting published, and on general professional development. Aim to facilitate the development of the student as a junior research colleague.

Tips for success

Do not leave the formatting of their thesis to the very end.

Advise the student that are minimum thesis formatting requirements that are applicable to every thesis-based student at the University of Alberta. These requirements change from time to time, but generally require a thesis to have a title, page numbers, an abstract, and a bibliography (References) etc. The current requirements are found online here:

http://www.gradstudies.ualberta.ca/en/degreesuperv/thesis.aspx

Note that co-authored work, and other forms of collaboration, need a preface identifying the student’s contribution that has been approved by the supervisor.

Thesis formatting requirements

Departments that have moved away from requiring a “traditional thesis” and instead require what some call a “paper format thesis” or “paper-based thesis” or a “mixed format thesis”, must have guidelines in place. Section 8.4.1 of the Graduate Program Manual makes clear that departments (not FGSR) may set discipline-specific requirements.

Many questions arise with respect to a thesis consisting of published papers. Specific departmental guidance is needed to address questions that may arise with respect to the degree or nature of multiple authorship permitted, what journals count, and whether there is a need to include some form of linkage between the papers in the thesis.

Supervisors should raise any questions with the graduate coordinator (Associate Chair) well in advance of the completion of the thesis.

Clarify the thesis requirements

Develop a system for tracking the progress of your students up to completion. No one system is used at the University of Alberta.

Use what works for you, but your tracking system should include:

•  the provision of milestones and deadlines, as well as guidance as to the time expected to complete each phase

•  the involvement of the student to instill ownership and responsibility and to facilitate communication

•  a means to identify problems - timely identification of potential obstacles now can avoid serious problems later, and

•  inquiries about a student’s plans and goals for the coming year or for the next six months, depending on the frequency of reporting

Tracking progress

By the time of graduation, the quality of supervision often makes the difference between a good and an outstanding graduate program. Quality of supervision is also becoming an indicator (or “metric”) discussed by those who evaluate graduate programs.

Good supervisors recognize that the type of supervision required changes as the student progresses through the program. At the start, the relationship is primarily one of instructor and student, with the student generally having no idea where the project will take him or her, but at the end, the supervisor and student are colleagues.

Often the training received through the mentorship offered by the supervisor is the most influential aspect of the graduate program.

 

Quality of supervision

Provision must be made for graduate students when a professor takes a sabbatical leave or is away for prolonged periods (e.g. maternity leave).

A supervisor going on sabbatical, or on any extended period of absence (over two months), must ensure that their graduate students are adequately provided for and supervised during their absence by the provision of an acting supervisor. The graduate student must be advised as to the identity of the acting supervisor and their contact details. In the case of doctoral students, the acting supervisor should be a member of the graduate student’s supervisory committee.

The rationale for this advice rests on sections 200.2.2 and 204.1.2 of the Calendar and for sabbaticals, Appendix E of the Faculty Agreement.

Sabbaticals, leaves and acting supervisors

It is the responsibility of the supervisor to maintain open communication with the student concerning any problem. Solid communication efforts also help mediate the inevitable power imbalance in the supervisory relationship.

In the event of a conflict in the supervisor-student relationship, the supervisor should discuss the issues with the student and with the graduate coordinator (e.g. Associate Chair) for their department in a timely fashion. Conflicts are often best addressed within the department, with the assistance of the graduate coordinator.

Many of the issues that arise between supervisors and graduate students often result from miscommunication and unmet expectations.

Maintaining open communications

Our experience suggests that the discussion of expectations at the very beginning of a student’s program sets a positive tone and greatly assists with a student’s future success.

Supervisors may also wish to discuss their preferred means of communication, their requirements concerning attendance in a lab or seminar, and their desires for progress reports. It the responsibility of the supervisor, with the student, to establish a realistic timetable for the completion of the various phases of the graduate program.

A suggested checklist of topics to discuss is available from FGSR: http://www.gradstudies.ualberta.ca/en/facultystaff/resourcessupervisors.aspx

Addressing misplaced expectations

Anyone involved in a dispute should attempt to resolve the dispute informally by meeting with the parties involved. Attempts to resolve the dispute at the lowest level are strongly recommended.

If an issue related to graduate studies cannot be resolved at the department level, it would then be appropriate to involve one of the three Associate Deans at FGSR to attempt a resolution. As much as possible, in-house informal resolutions will be sought.

The Associate Deans at FGSR can be contacted directly by email or by telephone on Tuesdays and Thursdays. The Associate Deans serve on a part-time basis with FGSR, and hold full-time continuing academic appointments in other Faculties. Staff at FGSR have access to their calendars and can make appointments for meetings.

Dispute resolution

Tips to stay sane:

1.  Be calm, be patient, be clear

2.  Protect yourself (and your memory) by keeping a record of meetings, deadlines, and events

3.  Manage expectations by being clear as to your role and your requirements, and by taking action expeditiously

4.  Seek advice (from experienced colleagues, your department’s Associate Chair, or an FGSR Associate Dean)

5.  Consider including departmental staff and faculty colleagues in the plan for managing a difficult student

6.  Know when to fold – know when to end the relationship

Dealing with the difficult student

It also helps to recognize that a student may be considered “difficult” for a range of reasons, with a range of different strategies and approaches being required to address the problem.

Students may be difficult because they are unwilling to accept, follow, or believe any advice. Others are considered difficult because of a needy or dependent personality. Some students are considered difficult due to anger or hostility, while others may exhibit traits that suggest they are vengeful and “on a mission”.

Please, however, also remember that a difficult student may also be one facing difficult personal circumstances, including depression and mental illness, with resources existing on campus to assist in such situations.

Categories of difficult students

A list of available campus resources for graduate students is posted on the FGSR website under “Resources for Graduate Coordinators” and “Resources for Supervisors”.

http://www.gradstudies.ualberta.ca/en/facultystaff.aspx

Such resources include the Student Success Centre (formerly the Academic Support Centre), the Centre for Writers (C4W), English as a Second Language courses offered by the Faculty of Extension, International Student Services at UA International (offering help with student visa problems), the Student Ombudservice, and University Wellness Services, including the Counselling & Clinical Services and the University Health Centre.

Campus resources for graduate students

There is a collective agreement in force that applies to graduate students hired to perform academically related work. A collective agreement is a contract. Employers of graduate students within the university community, including supervisors, are legally bound to respect and comply with the terms of this collective agreement.

The agreement is renegotiated from time to time, and so it is best to check the website for the current text. Both the GSA and FGSR post copies of the collective agreement on their websites. See further: http://www.gradstudies.ualberta.ca/awardsfunding.aspx

The GSA provides advice to students on the collective agreement. Departments seeking advice concerning the collective agreement should contact Faculty Relations within the Office of the Provost.

Legal obligations

The parties to the collective agreement are the University’s Board of Governors and the Graduate Students’ Association (GSA). The GSA acts on behalf of all graduate students in the negotiation of the terms of the collective agreement.

A member of the GSA executive is designated with responsibilities for the collective agreement, and this individual, holding the position of “Vice President Labour”, can also be contacted for further information or to provide guidance for graduate students.

http://www.gsa.ualberta.ca/en/01AboutTheGSA/People.aspx

The GSA’s Labour Relations Role

Publication practices vary widely between disciplines so a single set of firm policies governing authorship, co-authorship and acknowledgement is not possible or desirable. The recommended best practice is for each department to develop its own guidelines to assist their graduate students, faculty colleagues, and other collaborators in research.

Supervisors are strongly encouraged to discuss the publication practices in their field and discipline with their students. General guidelines on authorship can be found in the FGSR Graduate Program Manual at: http://www.gradstudies.ualberta.ca/gpm/Section10.aspx

A helpful booklet on Intellectual Property Guidelines for Graduate Students and Supervisors has been prepared and can be found here: http://www.gradstudies.ualberta.ca/degreesuperv/ip.aspx

Publication practices and intellectual property

It is a long-standing policy of the University of Alberta that a thesis should be made freely available to the public as soon as possible after convocation. See Calendar, section 204.4.2 and Graduate Program Manual, section 8.4.2.

In exceptional circumstances, access to a thesis may be restricted for a temporary period of one year. This is also known as an embargo period. The request to restrict access must be made to the department’s Graduate Coordinator (Associate Chair) at the time of submission of the thesis and backed by supporting documentation (such as a publishing contract specifying a problem with e-thesis or a publisher’s “Author Guidelines” document). See further, Calendar, section 204.4.3 and Graduate Program Manual, section 8.4.3.

Public access, prior publication and e-thesis

In light of the different practices of different publishers in different disciplines and fields, the best advice for a supervisor to provide to students is that: “practices differ from publisher to publisher”.

As part of their own professional development, graduate students should be encouraged to become familiar with the practices and requirements of the journals and/or book publishers relevant to their particular field and discipline, and then act accordingly.

Specifically, graduate students should be advised to check with the likely publishers of their work as to whether those publishers consider a student thesis on a web-accessible institutional website to be a prior publication in advance of submission.

Public access, prior publication and e-thesis

FGSR Graduate Program Manual

http://www.gradstudies.ualberta.ca/gpm.aspx

Supervision, Oral Examinations, and Program Completion

http://www.gradstudies.ualberta.ca/gpm/Section8.aspx

Awards & Funding

http://www.gradstudies.ualberta.ca/awardsfunding.aspx

Resources for Supervisors

http://www.gradstudies.ualberta.ca/facultystaff/resourcessupervisors.aspx

Resources