• Welcome
• Preamble
• Choice of Supervisor
• Role and responsibilities of Supervisors
• Role and responsibilites of Graduate Students
• Role and responsibilities of Supervisory Committee
• Role and responsibilities of Departments and Graduate Coordinators
• Role and responsibilities of the School of Graduate Studies

• Financial Assistance
• Intellectual Property
• Publication
• Conflict resolution and mediation procedures
• Appendix A: General Guidelines for Authorship
• Sample Graduate Student-Supervisor Agreement for Research and Authorship
• References and Relevant Resources

Welcome to your guide to good supervision

This guide, prepared by the School of Graduate Studies, is being distributed to graduate students and faculty members throughout Queen's University. We hope that this handbook will offer graduate students, faculty, and other departmental members the
guidelines needed to foster productive working relationships between supervisors and graduate students.

Good supervisory practice assists students in meeting their potential and advances the progress of research across Queen's. This booklet provides general guidelines, policies and suggestions for everyone involved in graduate supervision. You will also find information about financial assistance, intellectual property, publication, conflict resolution and a sample graduate student-supervisor agreement.

I hope that you will find this information useful. I wish you the best of luck in your scholarly pursuits.

Yours sincerely,

Brenda Brouwer, Ph.D.
Vice-Provost and Dean of Graduate Studies

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Roles and responsibilities in graduate supervision

Preamble

This document is intended to provide graduate students, faculty members, departments and research units with guidelines that encourage and promote an enriched and collegial work environment in which to pursue knowledge and academic inquiry. A good working relationship between supervisors and graduate students is built on mutual respect and trust that encompasses principles of academic integrity, freedom of inquiry and expression free of any form of discrimination, intimidation or harassment. The School of Graduate Studies recognizes that while models of supervision, research environment and research culture vary across departments and programs, there are general guidelines that apply across Queen's University. These guidelines provide direction and information in support of excellence in supervision and best practices.

While it is important to acknowledge that graduate students are partners in the university enterprise, it is equally important to recognize their differential power status, in particular with respect to their supervisors. Students may feel at risk if they complain or disagree with their supervisors. Therefore, the onus is on departments and supervisors to promote an environment where expectations and concerns are discussed openly. Understanding the respective roles and responsibilities of supervisors, supervisory committees, students, graduate coordinators and departments can be helpful in this regard; they are outlined in the pages that follow. As well, mediation procedures for the resolution of disputes related specifically to issues in graduate supervision, and graduate student research are described, although it is hoped that good practices will aid in anticipating and avoiding potential problems.

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1.0 Choice of Supervisor

In some graduate units a supervisor is assigned to a student at (or soon after) the start of the program. In most units the onus is on the student to find a faculty member who agrees to supervise the graduate research work; a process that often takes place prior to an offer of admission being made. The selection of a supervisor is a critical decision that impacts the quality of the student's graduate experience and influences the student's career path. Academic competence is of course important, but the supervisor must also be willing to provide advice, guidance, and mentorship. A healthy student-supervisor relationship is one in which there is open and effective communication and expectations are clearly laid out.

Students are advised to obtain information about potential supervisors and the environment in which they will be working. Departmental or program websites generally provide profiles of their faculty members and descriptions of ongoing research and research facilities. Students who will work in a laboratory setting or as a member of a research team are encouraged to talk with current students in that environment about their experiences and interactions with a particular supervisor. It is important that whenever possible the student meet with the potential supervisor of their graduate thesis to determine compatibility and have an opportunity to discuss issues such as expectations, research project support, identifying a thesis topic and scope, student funding, and strategies to ensure timely completion and quality work.

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2.0 Role and responsibilities of supervisors

The mission of the School of Graduate Studies is to promote intellectual and professional growth, academic scholarship and research excellence through departmentally based and interdisciplinary advanced degree programs. The supervisor plays a key role in this enterprise by providing advice, guidance, instruction and encouragement in the research activities of their students and also evaluating their progress and performance. A fundamental role of supervisors is that of senior partner. As such, supervisors have the responsibility to foster the intellectual growth of their students so that they can become competent contributors to their field of specialization. They also play an important role in providing assistance and advice to their students as they plan career steps after the completion of their degree. One of the key determinants of graduate student success is the quality of mentorship provided by the supervisor.

The responsibilities of supervisors:

 

• Guiding and advising the student on the selection and development of a research topic that is challenging, at the appropriate level for the degree sought and can be completed within the expected time frame of the degree program. The supervisor should ensure that the research receives approval from the appropriate Research Ethics Board if required prior to commencement of the project. Supervisors should be mindful of the availability of the resources needed to pursue the research.

• Communicating to the student the required levels of performance, as well as the performance indicators that are consistent with satisfactory and timely progress in the degree program.

• Ensuring that the student gains the necessary theoretical foundations and acquires the skills required to conduct research in a manner consistent with the highest standard of ethical and scientific practice.

• Examining thoroughly and responding in a timely manner (usually within 2 weeks) to written work relevant to the thesis/research project submitted by the student and providing constructive suggestions, preferably in writing, for improving and continuing the work.

• Informing the student of the standards for quality and style to which theses and papers for publication must conform and advise their students accordingly.

• Being accessible to the student to consult and discuss their progress. The frequency of such meetings depends on the field of study, the type of program, the stage of the research project and the independence of the student. At a minimum, meetings should be arranged in each academic term.

• Ensuring a safe research environment compliant with University and departmental regulations that is supportive of the research enterprise and is free from discrimination, intimidation or harassment.

• Making arrangements for continuity of supervision during periods of extended leave or absence (greater than 6 weeks) in consultation with the student and informing the graduate coordinator.

• Advising the student on career options and opportunities for professional development.

• Encouraging and assisting the student to disseminate the research findings through appropriate channels (conference, meetings, journals,...).

• Being informed of the regulations and procedures of their department, the School of Graduate Studies and the University and being knowledgeable about services and resources available to graduate students at Queen's.

• Being honest and open with the student about expectations, performance, and all issues relevant to the student's academic progress.

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3.0 Role and Responsibilities of Graduate Students

When a student registers in a graduate program, the student makes a commitment to strive for the highest levels of academic achievement and contribute fully to the intellectual life of the University. The primary responsibility of the student is to devote the time and energy required to complete all academic requirements including the thesis within the expected time frame. It is also the responsibility of the graduate student to follow departmental, School of Graduate Studies and University policies, procedures and regulations and to adhere to the principles of academic integrity.

 
By agreeing to work with a supervisor, students enter a partnership that will succeed if it is built on mutual trust and respect. Students should acknowledge the senior role that is played by their supervisors who are experienced researchers and academics. It is expected that students should seek their supervisor's advice and give it serious consideration. Students should also seek advice and guidance from their supervisory committee members and from their Graduate Coordinator as needed.

The responsibilities of graduate students include:

• Becoming familiar with and complying with the policies, procedures and regulations of the department, the School of Graduate Studies and the university.

• Meeting deadlines and following regulations associated with registration, award applications, degree requirements including thesis format and submission.

• Conducting research with the highest standard of ethical and scientific practice and acquiring Research Ethics Board approval if required.

• Providing reasonable evidence of satisfactory research progress, as requested by the supervisor or supervisory committee.

• Preparing a research plan and timeline in consultation with the supervisor as a basis for monitoring progress and completing all stages of the research.

• Giving serious consideration to the advice and criticisms offered by the supervisor and supervisory committee regarding academic and research work.

• Keeping the supervisor informed of progress and research findings through regular meetings and open communication.

• Ensuring that contact information is up to date with the supervisor, the department and the registrar's office.

• Informing the supervisor of any changes that might affect progress.

• Seeking advice and support from university services and resources as needed.

• Upon completion of the research work ensure that all records, files, documents are stored appropriately and a plan for dissemination has been agreed upon by all collaborators.

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4.0 Role and Responsibilities of supervisory committee

Students enrolled in graduate programs with a research component should have access to supervision throughout their program. The role of the supervisory committee is to assist supervisors in providing guidance, consultation and advice on the students' research. The composition of the supervisory committee may vary by department; however the members' areas of expertise generally complement that of the supervisor. The supervisory committee may also be called upon to take a more active role in cases where supervisors are absent for an extended period of time or in cases of disputes between supervisors and students.

 

Specific responsibilities of supervisory committees include:

• Meeting with the student, as a committee, as required but not less than once per year to assess the student's progress in the program and advise on future work required for completion of the degree requirements.

• Submitting a written report at least once per year to the graduate coordinator detailing its observations on the student's progress and future work and assessing whether research is progressing at a satisfactory or unsatisfactory level. A copy of the report should be given to the student and the student must be given the opportunity to respond. A copy of the report and the student's response should be filed with the department.

• Being reasonably accessible to students when called upon for discussion of academic progress, for consultation on issues related to the research project and for general guidance.

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5.0 Role and Responsibilities of departments and graduate coordinators

The heart of graduate studies is in the departments. Indeed for most graduate students, the first link with the University is through their home department and it is there that they also find the information or help they need. The department, through its delegate, the Graduate Coordinator, plays a central role in creating a positive environment in which graduate students can pursue their scholarly work and intellectual growth. Students should become acquainted with departmental administrators and stay informed about activities and events.

 

Specific responsibilities of the department and/or of its delegate, the Graduate Coordinator, include:

• Providing current information to all graduate students, both incoming and continuing, on all aspects of the department's program, admission requirements, financial support, procedures and deadlines. The departments should ensure that their information materials convey a welcoming and inclusive message and are readily accessible to all students.

• Ensuring that all administrative procedures of the department and the School of Graduate Studies are followed.

• Ensuring that departmental policies relevant to the graduate program such as regulations governing the appointment of supervisors, dispute resolution, monitoring progress are current and published (e.g. web, handbook) so students can be familiar with them.

• Being reasonably accessible to students when called upon for discussion and consultation of their academic progress and research.

• Establishing an effective means of communicating with graduate students about matters of importance to their program (e.g. events, seminars, funding opportunities)

• Appointing a supervisor for each student registered in a graduate degree program with a research component. It is recognized that in some programs it is desirable to appoint a supervisor as early as possible while in others it is preferable to wait for the student to be involved in the research component of his/her program. In the latter case, it is assumed that the Head, Graduate Coordinator or delegate will take on the role of supervisor until a research supervisor has been appointed. 

• Ensuring that each student registered in a graduate degree program with a research component has access to supervision and receives progress reports from the supervisory committee, where appropriate.

• Tracking financial packages provided to students and in cases where financial assistance is provided from departmental sources, communicating the terms clearly and in writing to the students (amounts, length of time, and conditions).

• Ensuring that financial support is provided in a fair and equitable manner consistent with departmental and SGS policies.

• Providing a mechanism for resolving problems which may arise between graduate students, instructors, supervisors and/or members of the supervisory committee.

• Informing students of resources and services available to them for assistance, consultation and advice on academic and non-academic matters.  

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6.0 Role and Responsibilities of School of Graduate Studies

The School of Graduate Studies oversees the conduct of all graduate programs within the university and supports the achievement of the highest possible academic standards in graduate degree programs. The School works closely with students, graduate units, and faculties to promote excellence and foster an enriched and collegial environment for the pursuit of graduate education. Specific responsibilities in relation to graduate supervision include:

 

• Providing support for new and continuing faculty on graduate supervision (eg. workshops).

• Providing professional development courses and opportunities for graduate students.

• Ensuring that policies and procedures are followed.

• Advising students on academic issues and facilitating informal solutions as appropriate.

• Liaising with graduate units on all matters relevant to graduate education.

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7.0 Financial assistance

Graduate students enrolled on a full time basis in a research degree program and who are within the first 4 years of a Ph.D. program, the first 2 years of a Master's program or the first year of a one year research Master's program are eligible to receive financial support. The financial package offered to students varies within departments and across disciplines, but in the case of doctoral students cannot be less than the published university minimum guaranteed funding. Financial packages may be composed of funds from the supervisor's research grants or contracts, departmental teaching assistantships, research assistantships, internal and/or external scholarships or fellowships and from other available sources. The financial package may change from year to year; students should discuss this with their supervisor or graduate coordinator.

 

The terms of the financial commitment including the source(s) of funds (e.g. supervisor, department, School of Graduate Studies, etc...), the time period, amount and conditions must be communicated clearly and in writing to the student by the Department. Because of the importance of the funding package for recruitment and retention, departments are strongly encouraged to make offers as early as possible. In all cases the commitment must be honoured while the contractual relation between the student and the University is in effect.

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8.0 Intellectual property

In accordance with Queen's University policy, intellectual property is created as a result of research, which in the case of graduate student research is often collaborative research, and is owned by the creators. However, the University retains a royalty-free irrevocable right to use for educational and research purposes any intellectual property created by a student in relation to her/his research activities.[1] The student should be aware of and adhere to the University policy on the ownership of intellectual property and the retention of any information relevant to the research program by the University for educational and research purposes and to respect any contractual terms under which thesis research is conducted. At the outset supervisors should discuss with their students issues related to intellectual property.

 

Original data should be retained in the laboratory or the department of the principal investigator and accessible to those involved in the research (supervisor and student). Guidelines of the General Research Ethics Board and the Health Sciences Research Ethics Board should be followed as appropriate and in accordance with the procedure describe in the ethics submission. It should be recognized that the data should be retained in the designated location (e.g. lab, department) for a reasonable period beyond the time of publication and beyond the end of the grant period.

In many disciplines, the supervisor plays a significant role in guiding the development, direction and completion of the student's research project such that the supervisor and student are both considered to have contributed intellectually to the research. As an institution of intellectual enquiry, Queen's is committed to fostering intellectual inquiry and transferring results to society and making them accessible. The ownership of intellectual property must not be used to suppress or distort research work conducted by members of the university.

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9.0 Publications

The Senate policy on Intellectual Property states the overriding objective is to make research results accessible through publication for wide utilization and scrutiny.[1] The dissemination of research results by publication in scholarly and research journals, by presentation at conferences and seminars and, if appropriate, by protection (patent or copyright) enhances the education and training experience. It is recognized that graduate student research in most disciplines is a collaborative effort and as such all who have made a significant intellectual contribution to the research activity are generally included as authors of its publication. The authors should be able to vouch for the quality and integrity of their contribution to the work. Individual departments, Faculties or Schools may have specific ancillary guidelines with regards to authorship and the student should be provided with a copy of these guidelines at the start of her/his program. Supervisors are urged to discuss issues regarding publication (including authorship) with their students at an early stage of their program and are encouraged to have a written agreement to protect their own interests and the interests of the student. A written agreement serves to clarify responsibilities and expectations and can avoid problems later (see template, Appendix A). Supervisors should also make sure that their students are aware of implications and/or obligations, with regard to intellectual property, of research conducted under contracts.

 

Prior to the submission of a thesis or documents for publication co-authored by their supervisor, the student must discuss a draft of the submission with the supervisor. The student must respect a supervisor's request to review any original data associated with the submission. In accordance with the Senate Policy on Research Ethics, original data should be held in trust for the scientific and academic community, and should normally be retained in the laboratory or department of the principal investigator.[2]

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10.0 Conflict resolution and mediation procedures

If problems associated with supervision practices or conflicts between graduate students, supervisors or supervisory committee members arise, the parties should attempt first to resolve any difficulties informally amongst themselves. If informal discussion does not lead to a resolution then other members of the department should become involved in seeking an acceptable resolution. If a satisfactory solution is not reached, then the School of Graduate Studies may become involved and formal procedures followed.

 
In resolving a conflict that involves a graduate student, parties must in all cases be mindful of the power differential in the student/supervisor or student/faculty member relationship. Furthermore, it must be acknowledged that research by nature requires that ideas, assumptions and interpretations are challenged - this can inadvertently create an environment that is perceived as threatening or adverse. Sensitivity to the power differential, recognition of differences in cultural experiences, and clear understanding of expectations can help maintain a healthy and productive relationship that fosters intellectual growth.

In cases when conflict arises, the procedure for mediation outlined below should be followed. Note that matters of academic substance should be dealt with following the procedures outlined in the calendar of the School of Graduate Studies under the section "Review of Academic Decisions".

Departmental and School of Graduate Studies Channels
Resolution of an issue should initially be sought first through informal departmental channels. Students should be informed of relevant Departmental procedures. Thus, discussion of the problem should occur first between the student and supervisor or supervisory committee. If the issue cannot be resolved here, one or both parties should consult the Graduate Coordinator and/or the Department Head to seek possible resolution. If a satisfactory resolution is not reached, assistance can be requested of the Associate Dean(s) of the School of Graduate Studies. In consultation with the person(s) seeking advice, the Dean may elect to appoint an advisory committee to help resolve the issue. All consultations in the Departmental and School of Graduate Studies should be kept confidential and no direct action should be taken without the prior consent of the person(s) seeking advice. Wherever possible, formal communications should be limited to those parties directly concerned in dealing with problems.

Grievance Channels
Resolution of the issue can also be sought through the University's Grievance Procedures, which include informal, administrative and formal channels. The Queen's Senate Statement on Grievance, Discipline and Related Matters and the University's Grievance and Appeal Procedures document should be consulted. Note that, unless warranted by unusual circumstances, no interruptions to the student's academic program may be put into effect until all channels of appeal or grievance have been exhausted, or the time for appeal has been allowed to lapse.[3]

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APPENDIX A

General Guidelines for Authorship

• Authorship is credited to those who make a substantial intellectual contribution to a piece of work. 
• Providing financial support for a student's thesis or research work is not in itself sufficient to warrant authorship, but when the student's research is part of a grant or contract on which the supervisor is a named investigator then the supervisor has contributed to the conceptualization of the project.
• Normally the order of authors' names on publications should reflect their relative intellectual contributions to the work, with the individual who made the greatest contribution being listed first. Where the major substance of a co-authored publication is based on a portion or all of a graduate student's work, the student is normally first author.
• All authors accept responsibility and credit for their work and ensure that the work conforms to the highest standard of academic and scientific integrity.
• In cases where the work done under terms of employment by a student employed as a Research Assistant is not part of the degree requirements, that student is not normally entitled to claim co-authorship.
• In cases where the work done under the terms of employment by a student employed as a Research Assistant becomes part of the thesis, that student may be considered as co-owner of the data with their supervisor/employer. As the author of the thesis, overall copyright of the completed thesis document is granted to the student. .
• As a matter of University policy, it is important that research findings are made accessible to society and are published in a timely manner. In cases where work must be kept confidential this should be made clear to all involved from the outset and normally the period of publication restriction should not extend beyond one year from the date of final submission of the thesis. 
• Publications co-authored by graduate students and faculty reflect their substantial contributions and collaborative efforts. The different roles and responsibilities of those involved in the research are often reflected in the unique contributions they make. This may include the development of original ideas that led to the research work, consultation and guidance that resulted in significant development of the research and/or interpretation of the data.
• All co-authors share responsibility for the content and ideas expressed in the publication and should agree to the time and place of presentation or publication. No party should unreasonably suppress or delay presentation or publication of completed work. All reasonable effort should be made to contact all contributors; however, the inability to contact a co-author to obtain agreement should not prevent dissemination of work in a timely manner.

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Sample Graduate Student - Supervisor Agreement for Research and Authorship

(Note: Publication practices may vary considerably across disciplines; the wording of the agreement should reflect those practices and students are encouraged to become familiar with the practices in their discipline.)

 

The following are terms of the graduate student and supervisor relationship as it relates to research and publication. _____________ is a graduate student working under the supervision of ________________ and is conducting thesis research in the area of ______________________. This work ________ (is, is not) part of the supervisors funded research program.

The supervisor will ensure that the student has access to computing and material resources to conduct his/her research. The necessary equipment is available and the student will be trained on its use and proper operation. Costs associated with conducting the research will be covered in accordance with the project described in the student's proposal; coverage of additional costs must be approved by the supervisor and only if a funding source has been identified. Original data records must remain with the lab/supervisor; if ethics approval is required for the study the Research Ethics Board guidelines regarding data storage and access must be followed. Compliance with the University's highest standards of ethics and scientific practice is mandatory.

Authorship is assigned based on level of intellectual contribution to the research determined collectively by the research team involved with the project. The graduate student will be listed as ________ (sole, first) author providing that (s)he carries out most of the work and provides a first draft of a manuscript (or any other relevant conditions). The supervisor will be listed as ________ (last, middle) author and other co-authors are: ___list names________________. It is expected that the student will provide a first draft of a manuscript within _____ months of completion of the research or series of experiments. If this does not occur and there has been no change in the agreement, the supervisor will draft the paper. This ______ (will, will not) affect the order of authors listed. The graduate student will be _______ author and the supervisor ______ author. All authors should be in agreement on the content of the manuscript prior to submission. In cases when a dispute about authorship arises, it will be resolved by the _______________ (graduate coordinator, department Head, Graduate Program Committee).

I have read and agree to the above terms.

Student's signature ______________________ Date _____________________

Supervisor's signature ______________________ Date ______________________

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References

[1] Report of the Senate Ad Hoc Committee on Intellectual Property.
http://www.queensu.ca/secretariat/policies/senateandtrustees/intellectualproperty.html

 

[2] Senate Policy on Integrity in Research (supercedes the Code of Research Ethics, approved by Senate, October 1987).
http://www.queensu.ca/secretariat/policies/senateandtrustees/Research_Integrity_Policy.pdf 

[3] Senate Policy on Student Appeals, Rights & Discipline
  http://www.queensu.ca/secretariat/policies/senateandtrustees/SARD_Policy.pdf

Relevant Resources

• Senate Academic Integrity Policy Statement 
• Senate Policy on Academic Integrity Policy 
• Queen's University Code of Conduct (PDF*, 65 KB)
• Senate Document on Conflict of Interest and Conflict of Commitment 
• Harassment/Discrimination Complaint Policy and Procedure 
• Report of the Advisory Research Committee (ARC) Ethical Conduct for Research Involving Human Subjects 

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© School of Graduate Studies and Research, Queen's University, Kingston,
Ontario, Canada
Modified: October 2007