Policy for the Supervision of Research Degrees

Team supervision is an essential requirement to ensure that PGRs are supported to progress at each stage of the research degree leading to the timely completion of a Level 8 award.

The following guidance relates to the supervision of doctoral degrees at Liverpool John Moores University and applies to full-time and part-time Postgraduate Researchers (PGRs) of the following degrees:

• Doctor of Philosophy (PhD)
• Master of Philosophy (MPhil)
• PhD by Published Work

Scope and Purpose

This policy is intended for use by PGRs, staff supervising PGRs and staff supporting research degrees in faculties and professional services departments.

It sets out the minimum requirements regarding who can be a supervisor, how teams are appointed and the key roles and responsibilities of PGRs.  The policy recognises that local needs and practice may vary depending on the discipline and that Faculty Research Degrees Committees will provide more specific guidance where necessary.

• Teams must have a lead supervisor and up to a maximum of three co­-supervisors;
• Teams must include as a minimum a lead supervisor and one co-supervisor.
• At least one supervisor must hold a doctoral degree.
• One supervisor should have experience of supervising at least one PGR to successful completion of a UK research degree or a degree considered comparable by Research Degree Board.
• At least one Co-Supervisor should be able to deputise for the Lead Supervisor if at any point the Lead Supervisor is not available.
• In certain disciplines it may be necessary to appoint an Industrial or External Supervisor to cover industrial, vocational or clinical aspects of the research degree, or to enable access to equipment or data resources otherwise inaccessible to the PGR, or where PGRs are pursuing research which involves collaboration with an external body.
• Dual Award candidates require a minimum of two co-supervisors, one from each institution.
• Split-Site or Dual PhD candidates must have a designated supervisor at both institutions. The contractual agreement between the university and the partner organisation will include detailed information about the supervision arrangements.

Lead Supervisors

Lead Supervisors must:

• Be a staff member at the university at a Grade 7 or above.
• Have the appropriate skills and subject knowledge to support, encourage and monitor the PGR effectively
• Not be registered for a research degree at any university
• Not be a visiting professor, visiting fellow or Emeritus professor
• Not be a retired member of staff

All Supervisors

All supervisors must:

• Normally be actively involved in research or professional practice in the candidate’s general field
• Be qualified to the level that they are supervising
• Align with the expectation set out in the university Policy on Personal Relationships at Work
• Have attended the Research Supervisor Workshop facilitated by the Doctoral Academy.
• Where a collaborative agreement is in place with an external organisation, the collaborating supervisor is expected to have comparable research experience as the university supervisor.

Faculty Research Degrees Committee is responsible for overseeing the appointment of supervisors for each PGR within their respective faculties. Teams are approved according to the criteria outlined above.

All supervision arrangements must be endorsed by the relevant Director of School prior to FRDC approval. 

No supervisor should undertake the supervision of more PGRs than they can give adequate guidance to. This is ultimately at the discretion of Directors of School and it is recognised that the limit will vary from one subject to another, according to the supervisor's other duties. The normal expectation would be that no member of staff shall undertake the role of Lead Supervisor for more than six FTE students or equivalent for PT.

Their combined purpose is to ensure that the PGR’s requirements, and any arising issues, are addressed and dealt with in a timely and constructive manner.

The university regards the satisfactory completion of a research degree within the allotted time as a matter of utmost importance. The expectations for formal progression milestones that PGRs must complete and the associated timelines are detailed in the Policy for reviewing progress of Postgraduate Researchers.  Supervisors must support timely completion by familiarising themselves with registration periods, agreeing realistic schedules of work, and by making early interventions into lapses of study.

The supervisory team should be available to the PGR for consultation and advice on academic matters relating to the research programme, and to offer support and guidance on related pastoral matters, or skills and professional development.

It is the joint responsibility of PGRs and supervisors to harmonise the natural development of the research topic with the timescale required by the research degree framework. The university, the Research Councils and other sponsors normally expect full-time PGRs to complete a thesis for a PhD degree within four years.

Supervisors should be aware of the needs of PGRs with a disability, and should have an active awareness of the support available to the PGR and the means of accessing this support.

The individual responsibilities of each party is outlined below.

Lead Supervisor

The Lead Supervisor takes responsibility for the overall management and direction of the PGR’s research degree in addition to administrative tasks relating to the PGR’s registration and progression. Specific responsibilities are:

• Provide guidance about the nature of the research and the standard expected, the planning of the research degree, literature and sources, and about requisite techniques (including arranging for instruction where necessary).
• Maintain contact with the PGR through regular scheduled meetings. Where PGRs are studying on Split-Site or dual degrees, or undertaking fieldwork, some communication may take the format of email, phone, and video conferencing.
• Ensure the PGR is aware of the health and safety regulations and that suitable and sufficient risk assessments are undertaken and recorded for all activities with significant risk.
• Ensure that the PGR is aware of regulations and policies of the university, and of the need to conduct their research according to ethical principles, and of the implications of research misconduct and plagiarism.
• Ensure, where required, that their duties are fulfilled with regard to any formal requirements from external bodies or agencies in relation to the submission of reports, training etc.
• Help the PGR identify their specific training needs, with reference to the knowledge, behaviours and attributes described in the Researcher Development Framework; and monitor their progress in these areas.
• Ensure that the particular needs of International/or other PGRs with diverse backgrounds are taken fully into account during the early stages of research and give help and advice on language problems and training where necessary.
• Manage any budget provided for the research project.
• Monitor progress of the student in eDoc according to institutional requirements and provide detailed advice on the necessary completion dates of successive stages of the work so that it may be completed within the required time.
• Ensure that the attendance and progress of International PGRs who have entered the UK on a Student Visa/Tier 4 visa is monitored in line with current Home Office (UKVIS) legislation, and according to the University’s formal monitoring system for international students.
• Provide timely, constructive and actionable feedback on written work or reports, as appropriate.
• Ensure that the PGR is made aware if progress is not satisfactory or if standards of work fall below that generally expected, and give advice and guidance on how to improve it.
• Keep other members of the supervisory team appraised of the PGR’s progress.
• Recommend examiners for the PGR’s final assessment, after discussion with the PGR, as set out in the Policy for the Examination of Research Degrees, and ensure that examiners are nominated within the stipulated deadlines so that the examination can go ahead as soon as possible after submission of the thesis.
• Ensure that candidates are adequately prepared for the viva voce examination, understand the expectations of the examiners, and the overall examination process.
• Instigate formal mechanisms for suspending, extending or withdrawing a PGR's registration when appropriate.

Co-Supervisors

Co-Supervisors are appointed to contribute auxiliary expertise throughout the development of the PGR’s research degree. Co-Supervisors may be required to offer specialist advice to complement the Lead Supervisor’s expertise, in addition to providing the PGR with a second opinion on research matters.

Typically, the co-supervisor(s) should:

• Be accessible to the PGR for advice and respond to difficulties raised by them by whatever means is the most suitable given the PGR’s location and mode of study.
• Help the PGR interact with other researchers by making them aware of other research work in the school and university, and by encouraging attendance at conferences and other appropriate events.
• Where appropriate, advise on the submission of conference papers and articles to refereed journals. Supervisors should obtain the agreement of the PGR for any publication of work contained in the thesis and the inclusion of the PGR as co-author.
• Provide effective pastoral support and/or refer the PGR to other appropriate areas of support, including institutional-level sources of advice, careers guidance etc.
• Ensure that a draft of the thesis submitted by the PGR to the supervisors is read within a reasonable period of time so that constructive comments may be given to the PGR before the work is submitted formally for assessment.

External Supervisors

The duties of an External Supervisor are complementary to those of the Internal Co-Supervisor and should focus on providing critical commentary on planned research and the programme of work completed. Their main responsibilities are:

• To meet with the Lead Supervisor and the PGR at least twice per academic year
• To register and engage with eDoc, meeting the required workflows on time
• To be actively involved with the research plan that has been agreed and by contributing to feedback on written work

Ensuring that regular and frequent contact is maintained is the joint responsibility of supervisors and PGRs. The meetings between supervisors and PGRs may vary according to discipline and local research culture, nevertheless, 10 recorded (on eDoc) meetings are required as a minimum (pro-rata for part-time PGRs).

Where a PGR’s research programme involves collaboration with an external sponsor it is recommended that formal meetings of all personnel involved in the project, including external sponsor are held at least once each year.

The university cannot guarantee that PGRs will be able to work with a particular supervisor when they start their programme, or that they will have the same supervisor for the duration of their research degree, but, wherever possible, will endeavour to ensure continuity and alternative provision.

In situations whereby a Lead Supervisor retires, transfers to another institution or is absent from the university for an extended period of time due to illness, research leave or other reasons, then the co-supervisor should normally assume responsibility for the PGR until the Lead Supervisor returns. Where the period of absence is likely to exceed three months, it is essential that alternative arrangements are made in advance by the supervisory team, with the Director of School, to ensure continuity of supervision.

If the Lead Supervisor retires or becomes an honorary member of staff during the period of a PGR’s PhD degree, they can assume the role of Co-supervisor, but a new Lead Supervisor must be appointed. Where a supervisor has moved to another institution, they may be able to continue to co-supervise but they cannot act as the Lead Supervisor.

Lead Supervisors should inform their PGR in advance of any proposed periods of absence either on research and study leave, or any extended leave of more than 4 weeks. In the event of an absence of 4 weeks or more, Lead Supervisors should either arrange for another staff member to take up temporary supervisory duties, or provide contact details so that supervisory contact may be maintained with the PGR

We endeavour to ensure that our research environment provides positive experiences and opportunities for our postgraduate researchers. The regulatory and procedural requirements laid out in the Research Degrees Framework, mandate for regular recorded meetings and the formal review of progress.

On occasion, PGRs may wish to raise concerns and normally these will be directed to supervisors or to PGR Coordinators. In the event that a supervisory relationship seems to have broken down, PGRs or supervisors may seek advice from their Faculty Mediator.

PGR Faculty Mediators provide a safe and confidential environment for PGRs to raise issues and concerns. They assist the PGR to consider options, provide advice, inform about university resources and procedures, and to be a “thinking partner.” They do not keep formal records, perform formal investigations, or advocate for either one party or another, but they advocate for fairness. Areas they cover include, but are not limited to:

• Interactions with members of the supervisory team;
• Conflict with other students;
• Clarifying expectations if a PGR is in doubt;
• Signposting resources or services;
• Identifying and discussing options for resolution
• Making referrals to formal channels when necessary

The formal complaints procedure sits with Student Governance. This is the same procedure as for all other students, starting with an attempt to resolve problems locally and informally, with the possibility of escalating the complaint to a formal stage requiring a formal hearing chaired by a third party.

All newly-appointed members of staff with responsibility for supervision, and existing members of staff that take on their first supervisory role, are required to attend the university’s Introduction to Supervision at LJMU workshop.. Additional staff development opportunities for supervision may also be offered at faculty and/or school level. Experienced supervisors are encouraged to attend the university’s wider Supervisor Development Programme, which consists of several workshops designed to support and develop a reflective supervisory practice.

The Doctoral Academy, in conjunction with the Teaching and Learning Academy, delivers a module, Developing Research Supervision, for new members of staff