Policy Number: 4.60.1
Contact Officer: Research Higher Degrees Unit Coordinator, Research and Research Training Division
Date Approved by Senate: 27/3/2008
Date last amended: 7/10/2004
Date for Next Review: 27/3/2011
Overview
1.1 The education, mentoring and guidance of research higher degree candidates are defining characteristics of a research-intensive university like the University of Queensland. Although it is a crucial facet of the transmission of ideas and knowledge, research guidance is also an integral part of the production and extension of knowledge. Leading universities recognise that the work of research higher degree candidates forms a vital part of an institution’s overall research effort and that candidates contribute importantly to the university’s research profile and culture. The university, therefore, strives to improve advisory practice.
1.2 Excellence in advisory practice helps candidates fulfil their potential and contributes to the institution’s research profile. A reputation for advisory excellence and a prominent research profile leads, in turn, to the attraction of further high calibre candidates.
1.3 The University has a range of policies and guidelines on research higher degree candidature, and advisors are expected to be familiar with them and implement them. These include:
1.4 The provision and maintenance of quality mentoring for research higher degree candidates involve several components (which are also set out in the Postgraduate Research Student Charter). These include:
- the role of individual advisors;
- the infrastructure support available through Schools;
- relevant University policies;
- the extent to which administrative structures and procedures are designed to assist research higher degree candidates;
- the effective inclusion of research higher degree candidates in the School’s research culture.
1.5 A complete statement of what constitutes effective guidance would require that each of the above components be addressed. This document describes the role of individual advisors and provides guidelines on effective advisory practices.
1.6 The Teaching and Educational Development Institute (TEDI) and the Graduate School offer a range of staff development programs to help advisors develop their awareness of, and enhance their skills in, being effective advisors. These programs are designed for new advisors, for advisors new to this University, and those who wish to update their advisory knowledge and skills.
1.7 The University of Queensland Awards for Excellence in Research Higher Degree Supervision recognise and encourage advisory excellence throughout the University. The University offers Awards and Commendations annually for sustained distinction in the mentoring and guidance of research higher degree candidates.
2. Provisional Candidature and Confirmation of Candidature
2.1 All research higher degree candidates at the University of Queensland are initially admitted as provisional candidates. Confirmation of candidature is a critically important stage in every research higher degree candidature, and generally takes place between 4 (MPhil) and 15 (PhD) months (FTE) from the commencement of provisional candidature. At this time, the provisional candidate receives formative advice about the project; the School reviews the resources that are needed to sustain the candidature and compliance with relevant protocols; and the University is assured that continuation of the candidature is likely to lead to an examinable thesis within 3-4 years (FTE) for a PhD and 2 years (FTE) for an MPhil.
2.2 The advisor must ensure that the provisional candidate receives clear written advice at the commencement of candidature about the appropriate standards and scope of the work to be undertaken and the procedures to be followed for confirmation to be recommended. School expectations and processes must be explained at a formal induction session for all commencing candidates. The formal induction process must also draw candidates’ attention to relevant University rules, codes of conduct, Procedures for the Conduct of Research, major administrative processes, and information and documents on the Graduate School website.
3. Structure of Candidature
3.1 Successful research higher degree outcomes require that candidates develop in-depth and broad knowledge and skills at the cutting edge of their respective fields, together with an advanced understanding of disciplinary, interdisciplinary, professional and international perspectives and best practice. Of particular importance in critical analysis is a high degree of reflexivity. It is essential for being able to challenge established theoretical traditions, to formulate new research questions, to develop insightful conclusions and to provide valuable contributions to a specific area of research. In fact, the most successful researchers are typically those who have the ability to critically question and reject taken-for-granted assumptions underlying their specific area of research.
3.2 The University provides candidates with the opportunity to develop these attributes, which are detailed in the Statement of Postgraduate Research Student Attributes, via structured and well-guided candidature. At the beginning of candidature, an evaluation of skills already held and those that will be needed should lead to suggestions of appropriate courses to be taken, or of other ways in which the skills can be acquired.
3.3 Research higher degree candidature is often said to have three ‘stages’:
- an early stage with the main focus on reading and analysis;
- a middle stage with a focus on data collection and analysis or on further critical reading;
- a final stage that primarily involves writing.
In practice, these ‘stages’ are seldom so neatly sequential. While it may be convenient to divide candidature into clear and discrete stages for discussion purposes, the elements that make up higher degree research should be cascading and iterative processes of reading, data collection, analysis and writing.
4. Provision of Structure
4.1 Reading and literature analysis
4.1.1 A structured approach to reading is essential, particularly in the early stages of candidature. Effective advisors will provide structure at the outset, both by recommending material to be read, analysed and discussed and by giving advice about the limits or boundaries of the thesis topic. Many candidates experience anxiety about the boundaries of a topic and this manifests itself as an inability to distinguish between what is essential reading, and what is not. Insightful advisors are alert to this problem and can guide candidates on how to prioritise and structure their reading and on how to search, summarize and critically analyse the relevant literature.
4.1.2 It is strongly recommended that the procedures and School expectations be explained at a formal induction session for all commencing candidates.
4.2 Focussing the topic
4.2.1 Guidance in selecting appropriate material to be read is often an important part of negotiating a thesis topic. Although advisors should not directly provide candidates with topics, research questions and detailed research plans, guidance towards areas that advisors know will yield interesting, challenging and realistic thesis topics is appropriate. This can be done by directing candidates to particular areas of reading and by shaping the reading requirements to make them progressively more focussed.
4.2.2 This “funnel” approach to developing structured reading skills means inevitably that there are choice points with respect to research direction and it is at these points that candidates and advisors negotiate, revise, refine, and improve topics. Choices often represent a compromise between the candidate’s interests, and the interests and expertise of the advisor and the availability of resources.
4.2.3 It is important that candidates have a clear picture of the advisor’s research so that there is no ambiguity about the boundaries between the candidate’s and the advisor’s work. Mentoring candidates in the skills of developing a strong and focussed and practicable research proposal is one of the most important contributions an effective advisor can make.
4.3 Discussing ideas
4.3.1 The careful selection of material to be read is of little use unless that material is then discussed and the ideas that flow from it evaluated. It is the iteration of reading/discussion/evaluation that helps to define the research topic and the research aims. This is also crucial for developing a facility for critical analysis in the candidate and this in turn lays the foundation for a literature review (if appropriate) that will lead to a detailed research plan.
4.3.2 The early provision of structure is also important in developing a broad timetable for completion of the thesis. Clearly the timetable cannot be too detailed at this stage, but it is essential that some broad timelines be agreed that should enable the thesis to be submitted within 3-4 years (FTE) for a PhD and 1.5-2 years (FTE) for an MPhil.
5. Development of Theoretical and Methodological Skills
5.1 Research higher degree candidates should progressively be able to conduct independent, innovative, and original research and scholarship. Advisors are responsible for mentoring candidates in the skills of identifying and managing contextual information, developing relevant theories and formulating a viable research plan. They should ensure that candidates gain, and have the possibility to optimise, the methodological and technical skills necessary to conduct the research, and that candidates master the requisite data analysis techniques to address the questions posed in the research project.
5.2 The advisor needs to monitor closely the analyses performed and the interpretation of results obtained. Some candidates have a tendency to over analysis of data or to pursue theoretical issues too far and lose sight of the questions being asked. Effective advisors ensure that the appropriate analyses are performed and invest considerable time and effort in discussing the interpretation of the results. This will also help candidates understand the significance and limitation of their own research and its potential application in social, cultural and commercial contexts.
5.3 Advisors should also assist candidates in engaging effectively in the discipline’s philosophy of enquiry. They should also ensure that candidates develop the capacity to understand and respect interdisciplinary and diverse cultural perspectives.
6. Development of Communication Skills and Knowledge Dissemination
6.1 Research involves not only the acquisition of new knowledge or new interpretations and syntheses of existing material, but the communication of the results to a wider community of researchers and scholars. Indeed, the ability to communicate thought and convey ideas clearly and interestingly using a variety of media and technologies is essential for success not only in completion of the thesis but also in the postdoctoral career. Candidates should also develop the capacity to communicate knowledge for the education of others. This may include academic teaching and advising; professional and scientific development; the evolution of public policy and practice; and the understanding of the general community.
6.2 The advisor plays a pivotal role in the development of these skills during research higher degree candidature. The advisor’s role begins with advising candidates of the skills needed; it should include identifying opportunities for attaining them; it may sometimes include providing training in the skills.
6.3 It follows that effective guidance involves encouragement of (and assistance to) candidates to attend and present work at national and international conferences and to publish their work in appropriate scholarly outlets. If possible, advisors should also provide opportunities for candidates to teach and advise others.
6.4 Development of writing skills
6.4.1 Because clear written communication is at the core of the transmission of knowledge, the acquisition of effective writing skills is integral to the research higher degree process. Research higher degree candidates must learn to prioritise and structure the writing process, and to develop flexibility in writing for different audiences and different purposes. Candidates should ideally gain experience in writing research proposals, research plans, research reports, research and travel grants, seminar and poster presentations, conference papers, journal articles and reviews, and book chapters or monographs (if applicable).
6.5 Writing from the beginning
6.5.1 Thesis writing actually begins with the drafts of the research proposal that is a prerequisite for admission to candidature. Effective advisors ensure that research higher degree candidates continue writing after candidature commences. Material that has been read should be summarized, critically analysed, and submitted to the advisor for comment. This procedure not only establishes the feedback habit, but also provides a mechanism that helps the candidate to develop his/her ideas and to formulate research questions. The development of writing skills is a gradual process and, if left until towards the end of candidature, will cause considerable stress to both candidate and advisor.
6.6 Feedback on writing
6.6.1 Insistence on the submission of written work early in candidature is beneficial, but only if timely and appropriate feedback is provided. Effective advisors provide two broad types of feedback:
- The first concerns the content of what has been written, the data/evidence collection and analysis, methodology, argument and theory. This phase often involves extensive discussion.
- The second concerns the discourse of the discipline: the accepted norms of writing up research in the relevant areas. Advisors will also indicate if and in what respects a candidate’s academic English does not meet appropriate standards in the field, but advisors are not responsible for correcting candidate’s academic English. For tuition and support in academic English, candidates should be encouraged as early as possible to seek help from Student Services, Institute of Continuing and TESOL Education, or appropriate academic courses in the University.
6.6.2 Although editing is an important part of the advisory process, it is something that should occur less and less frequently as more written material is submitted. Advisors should be explicit in telling their candidates that they expect to edit less as candidates develop their writing skills. There may be some instances in which writing skills cannot be fostered by the advisor alone. In such cases, advisors need to ensure that appropriate help is arranged.
6.7 Publishing
6.7.1 The research has to be reported in the thesis and there is little doubt that, in most cases, publication of at least some of the work during candidature makes thesis preparation an easier task. The preparation of papers also helps to clarify the questions to be addressed in subsequent work and maximises opportunities for peer review, response and interaction. Publication during candidature improves the candidate’s prospects of obtaining postdoctoral or other academic or research-related positions after graduation. Finally, publication represents a rite of passage in which the candidate becomes a recognised member of a research community. Effective mentoring and guidance thus involves encouraging candidates to publish their work in suitable scholarly outlets.
6.8 Development of verbal communication skills
6.8.1 Similar arguments can be made for the benefits of seminar and conference presentations. Most PhD (and many MPhil) graduates from this University obtain academic, research or professional positions in which the ability to present ideas and data is crucial. Accordingly, constructive guidance should involve not only encouragement and support for conference presentations, but actual training and feedback with a view to developing effective oral presentation skills. Regular presentation of work at research group meetings or in School seminar series may be an effective way to foster familiarity with communicating results in a group context.
6.9 Thesis writing
6.9.1 The thesis represents the culmination of a sustained program of research; it communicates the original findings produced during research higher degree candidature and explains their significance. The thesis is the evidence upon which assessors evaluate the quality of the research, the ability to communicate the significance of the research, and the candidate’s ability to work as an independent researcher. The advisor should ensure that the candidate is aware of and adheres to the guidelines and procedures for the format and assessment of the thesis.
6.10 Information Literacy and Management
6.10.1 In addition to the technical, methodological and analytical skills that must be gained during candidature, the acquisition and management of information is becoming increasingly important for successful research higher degree study. In general, this refers to literature searching using the extensive range of databases available via the UQ Library. Proficiency in the use of applications software (including word processing and spreadsheets) is also required, as is the use of bibliographic management software (such as Endnote).
6.10.2 The effective use of relevant information technology (IT) is expected of almost all research graduates, and sound advisory practice requires that candidates receive training in the appropriate IT-based skills. Library and IT services and infrastructure should be made available to the candidate, as set out in section 2.1 of the Postgraduate Research Student Charter. Similarly, advisors need to encourage research higher degree candidates to establish and use personal reference databases from the outset of candidature. Databases established during candidature can also be used in a subsequent career.
7. Providing timely and constructive feedback
7.1 Constructive mentoring involves the provision of timely feedback on all aspects of performance, including the critical analysis of an individual paper or an entire literature, draft material (such as posters or parts of chapters), the conceptualisation and articulation of research design, approaches to analysis, or formal oral presentations. Of all the difficulties described by research higher degree candidates in formal and informal surveys, slow and unspecific feedback ranks as the most important.
7.2 Part of the difficulty in providing feedback is that there is often a mismatch between the candidate’s and the advisor’s expectations. For this reason, advisors should provide candidates with realistic timeframes for receiving feedback and then ensure that they adhere to the agreed timetable. Candidates should be encouraged to provide written material in a way that allows relatively rapid feedback. For example, during thesis writing, individual chapters/sections should be submitted for comment.
8. Fostering interactions
8.1 Feelings of isolation have been identified as a major problem for many research higher degree candidates and this can contribute to slow progress or even to withdrawal from the program. This problem may be more acute in some disciplines than in others but there are several ways in which it can be overcome:
8.2 Regular meetings between advisor(s) and candidate
8.2.1 Effective advisors ensure that they conduct regular meetings with the candidate. The frequency may vary depending on the stage of candidature. Candidates and advisors should be encouraged to write notes or minutes of each meeting; these should be exchanged to ensure that understandings and expectations are shared.
8.3 Research group meetings
8.3.1 Attentive advisors in experimental disciplines almost invariably hold regular laboratory meetings, attended by postdoctoral fellows, research higher degree candidates, and often honours candidates. Laboratory meetings not only provide a mechanism by which candidates can interact and learn from each other, but also provide them with a bigger picture of where the group’s research is headed and how their own research contributes to the broader effort.
8.3.2 A similar function is served in non-experimental disciplines by regular reading or discussion groups. Although regular research group meetings may be less common in some disciplines, attempts by the advisor to promote group activity are encouraged. Winners of Awards for Excellence in Research Higher Degree Supervision in all disciplines have reported successful group interactions with their candidates. Advisors will experiment with different formats for regular group meetings to obtain the maximum benefit.
8.4 Seminar programs
8.4.1 Advisors should emphasize the importance of School and interest group seminars and colloquia, and strongly encourage their candidates to attend and participate actively.
8.5 Networking
8.5.1 Every effort should be made to foster interaction between the candidate and the advisor’s national and international colleagues. Candidates should identify as a member of a discipline/professional group and, with their advisor’s help, begin to develop membership of the international scholarly community in that discipline. In some disciplines, poster presentations at conferences are an excellent way to trigger interaction and stimulate discussion and potential collaboration.
8.5.2 The ability to work collaboratively and effectively with others, within a range of contexts, is a key skill to be nurtured during candidature. Effective guidance may also involve fostering interactions between Schools so that candidates can place their work in wider intellectual and multidisciplinary contexts.
9. Associate Advisors
9.1 Associate advisors have an important role in the University’s policy on research higher degree candidate education, mentoring and guidance. The requirement for the formation of advisory teams recognises that associate advisors fulfil a range of significant roles. For example, some associate advisors have general expertise in the area of the thesis, whereas others have specific skills on which a candidate can draw, or can provide access to particular resources. Principal advisors should ensure that associate advisors are kept up to date with the candidate’s progress and are aware of potential difficulties in candidature. The particular role to be played by an associate advisor and his/her responsibilities need to be discussed and agreed upon early in candidature, and revised during candidature when necessary.
10. Part-Time and Remote Candidates
10.1 Advisors of candidates who infrequently attend the campus and/or undertake any significant part of their research degree remotely from the campus need to work particularly closely with them to determine the optimal methods for providing advice, guidance and interaction. Negotiating the best mixture of communication methods requires skill, and it is likely that modes such as email will suit some but not all needs for interactive communication. Many part-time remote candidates need more attention and feedback than on-campus candidates. It is advisable to set up email or other network links to include the remote candidates in a collegial environment, if only at a distance.
10.2 Candidates and staff are strongly advised to try to arrange for at least one meeting face-to-face per year, either at the University of Queensland, at the candidate’s institution or at conferences. Face-to-face meetings are particularly important to start the advisory relationship and the research on the best possible footing.
11. Matching and Negotiating Expectations
11.1 It is essential that advisors and research higher degree candidates have shared expectations about all aspects of their working relationship. Each needs to understand the constraints that affect the other and the effects that these might have on mentoring and guidance. Effective advising involves the sharing of a clear set of expectations between advisor and candidate. This includes not only the need for and importance of the following matters, but also the way in which they will be negotiated:
- regular meetings;
- advice about periods of unavailability or absences;
- setting goals and deadlines for their completion;
- seminar and conference presentations;
- publication and authorship;
- mastery of methodological skills;
- thesis completion within 3-4 years (FTE) for a PhD and 2 years (FTE) for an MPhil.
Similarly, candidates should be clear about their expectations with respect to advisor availability, the provision of feedback and the timeliness of that feedback.
11.2 Clear and forthright discussions at the outset of candidature about each other’s expectations will avoid some of the problems that arise in certain cases, in which candidates and advisors not only hold different expectations, but they are unaware of each other’s views. Early negotiation and agreement with respect to the parameters of mentoring and guidance will minimize problems. The Role Perception Rating Scale used in TEDI postgraduate advising development is a useful tool for matching the expectations of advisors and candidates.
12. Monitoring Progress
12.1 Regular and meaningful contact
12.1.1 Effective guidance involves regular and meaningful contact between candidate and advisor. ‘Contact’ incorporates communication via face-to-face meetings, email, voice-files, telephone and fax. Although the frequency of contact may vary depending on topic, discipline, and the stage of research and candidature, the regularity of contact is paramount. Relying on informal meetings alone can lead to the advisor being less familiar than s/he should be with what the candidate is doing and with the progress being made. Frequent and regular contact is crucial during the early stages of candidature when the topic and research questions are being defined. Constructive, meaningful contact should take place at least once a month, irrespective of discipline.
12.2 Alternative advisory arrangements
12.2.1 University policy requires that alternative advisory arrangements be made when a principal advisor is absent on leave for an extended period of time (for example, Special Studies Program). In some instances, an associate advisor can take on the primary advisory responsibilities. However, engaged advisors try to maintain contact by email and fax during extended periods of leave. Moreover, effective advisors constructively plan with their candidates detailed work plans and goals for their periods of absence. Nevertheless, it is crucial that the candidate has a reliable and regular source of immediate advice when problems arise.
12.3 Milestones
12.3.1 An important aspect of the monitoring of progress involves the joint development of work plans and the setting of tasks to be completed by particular deadlines. Research higher degree candidature involves programmatic research within a limited time period and it is crucial that candidates learn how to complete component research tasks within agreed deadlines. Effective advisors mentor candidates in the skills and importance of setting and observing timelines.
12.4 Academic progress reports
12.4.1 Finally, milestone reports, follow-up reports (where indicated) and reports to sponsoring agencies provide an opportunity for candidates and advisors to reflect on the quality of work and the progress made towards goals. Importantly, it is also an opportunity to identify any difficulties that are impeding research progress and to bring these to the attention of the School Postgraduate Coordinator, the Head of School, and the Dean, UQ Graduate School. Formal reports provide all those concerned with a review of the candidate’s progress and are an opportunity to develop strategies to overcome candidature difficulties.
13. Developing Independent Researchers
13.1 Although the provision of structure is crucial early in candidature, it is also important that advisors work to develop independence and confidence in their research higher degree candidates, particularly with regard to project management and leadership skills. Such skills include setting research goals, formulating and implementing project plans, monitoring progress and prioritising activities in order to complete a complex project within time and budgetary constraints. The ability to develop project proposals to relevant agencies, such as applications to funding bodies and ethics committees to support their research is another valuable attribute of the independent researcher.
13.2 Although each aspect of research requires some initiation and subsequent guidance by the advisor, the balance of responsibility should shift gradually to the candidate. Such a transition is consistent with the development of independent research skills and in the best cases will lead to the development of new lines of enquiry, inventive solutions and the initiation of new research by the candidate. In many cases, it will also lead to longer-term collaboration between advisors and former candidates. Candidates should commit to lifelong professional development and, with their advisor’s assistance, make a career plan and identify ways to improve employability. Effective mentoring and guidance ensure the transition from candidate to independent colleague.
14. Intellectual Property and Authorship
14.1 Intellectual property (IP) issues are increasingly important and advisors should ensure that candidates are familiar with the University’s IP policy. Advisors and candidates should discuss IP issues early in candidature and ensure that there is written agreement between all parties in the event of potential copyrighting, patenting or commercialization of findings. IP issues rely on written and chronological evidence; forward-thinking advisors in experimental disciplines will promote sound practices in laboratory notebook keeping.
14.2 Many candidates publish with their advisors and sometimes questions are raised about the order of authors on a paper. Advisors and candidates should discuss authorship early in candidature and should reach agreement on the way in which authorship is to be determined. Most learned and professional associations have well-developed guidelines on the order of authorship. The Australian Code for the Responsible Conduct of Research refers to some of these.
15. Dealing with personal problems and problems related to candidature
15.1 Candidates sometimes experience personal difficulties. These can include family difficulties, problems in personal relationships, financial pressures, and problems associated with employment. The importance of these various problems should not be underestimated. Providing support in these instances or referring candidates to appropriate support services may ensure that they complete candidature in spite of personal difficulties.
15.2 Balancing privacy and concern
15.2.1 Advisors are not trained counsellors and cannot be expected to help professionally with some of the personal problems experienced by candidates; nor should advisors intrude into the personal lives of their candidates with what might be unwanted advice. On the other hand, advisors should try to ensure that their relationships with candidates are such that candidates will not feel inhibited in telling them that they are experiencing personal difficulties. Candidates are unlikely to discuss such issues, at least initially, with the Head of School or the Dean, UQ Graduate School.
15.3 Detecting and dealing with problems
15.3.1 It is crucial that the advisor be alerted to actual, impending or potential problems so that s/he can take appropriate action. That action might include re-arranging work timetables, help with part-time employment or referral to appropriate support staff.
15.3.2 In instances of conflict between the advisor and the candidate, the normal expectation is that most matters may be resolved within the advisory team or at the School level. Advisors and candidates should be aware of current University guidelines for resolving problems during candidature and raising grievances that are related to candidature.
16. Ethics and Health & Safety Procedures
16.1 Advisors must ensure that candidates are aware of current University policies with respect to research ethics and research conduct. Candidates must be made aware of ethical considerations regarding human and animal participation and use and obtain ethical clearance as required. Advisors must also ensure that candidates are informed of and can implement relevant work place health and safety procedures and other risk management strategies.
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