1

Supervision, Monitoring and Assessment:An Introduction

Andrzej Krasniewski

Conference of Rectors of Academic Schools in Poland&

Faculty of Electronics and Information TechnologyWarsaw University of Technology

2

… a set of ten basic principles …

V. The crucial role of supervision and assessment: In respect of individual doctoral candidates, arrangements for supervision and assessment should be based on a transparent contractual framework of shared responsibilities between doctoral candidates, supervisors and the institution (and where appropriate including other partners)

Starting Point

Salzburg Recommendations

(2005)

III. Future challenges and priorities

Higher education and research… Considering the need for structured doctoral programmes and the need for transparent supervision and assessment, …

mandate for EUA to prepare a report

for London 2007

Bergen Communique

(2005)

3

Supervision and managerial duties

…With regard to their role as supervisors …, senior researchers should build up a constructive and positive relationship with the early stage researchers …

Supervision

…the proposed supervisors are sufficiently expert in supervising research, have the time, knowledge, experience, expertise and commitment to be able to offer the trainee appropriate support and provide for the necessary progress and review procedures, as well as the necessary feedback mechanisms”

Complaints/appeals

…appropriate procedures … to deal with complaints/appeals of researchers, including those concerning conflicts between supervisor(s) and early-stage researchers.

Starting PointEURODOCSupervision and Training

Charter for ESR (2004)

European Charter for Researchers & Code of Conduct

for the Recruitment of Researchers

(2005)

4

General View

nationaltradition

SUPERVISION MONITORING ASSESSMENT

institutionalculture

disciplinaryculture

‘massification’ shift to structured training development of organisational

structures (graduate schools, …) diversification

research/professional degrees full-time/part-time education different motivations of candidates different status of candidates different admission requirements

(BS/MS) internationalisation (joint degrees, …) interdisciplinary approach

emerging trends in doctoral training

5

General View

unstructured doctoral education

structured doctoral education

… individual responsibility

for quality of supervision, monitoring & assessment

…

… institutional responsibility

for quality of supervision, monitoring & assessment

…

6

General View

role andresponsibilities of a supervisor

modelsof supervision

formalarrangements

selection of a supervisor

training of supervisorsqualification

requirements for a supervisor

conflict resolution

SUPERVISION

MONITORING&

ASSESSMENT

7

Models of supervision

variety of arrangements in structured programmes

individual supervision supervisor tutor during the coursework period

+ research (thesis) supervisor multiple (team) supervision

two or three supervisors with one principal supervisor

supervisor + committee collective supervision (double,

joint or panel/team supervision)+ administration/counselling at the level

of programme or institution

variety of models of personal relations

apprenticeship model

What is the best model? Does it depend on

discipline? type of degree

(research/professional)? mode of studying (full-

time/part-time)? To what extent external

experts should be involved?

8

Formal arrangements

Formal arrangements

implicit agreements regulations at the level of state regulations at the level of

institution/programme explicit agreements - individual

contracts

doctoralcandidate

supervisorinstitution

determine rights and duties of each party

Are state-level regulations necessary/useful?

Are explicit agreements better than implicit?

What is the best conflict-resolution procedure?

ombudsman

complaints/appeals procedures

conflict

9

Role and responsibilities of a supervisor

identify training needs of the candidate ensure that appropriate training is

provided (suggest coursework, …) help to develop the plan of actions actively guide through the research provide critical review of research

results and progress in research provide for (facilitate access to)

equipment and resources provide the candidate with an

opportunity to present his/her results to different audiences (seminars, conferences, publications)

…

independence of the candidate must be respected

Should a minimum no. of contact hours be guaranteed?

How much supervision is needed? (too much can be counterproductive)

Is supervisor responsible for financial support?

Should supervisor protect the candidate from excessive research-unrelated duties?

Are there specific duties of supervisors of professional doctorates?

10

Qualification requirements for a supervisor

Formal requirements formal qualifications (PhD, hab.,

senior tenured position, …) full-time position limit on no. of advisees …

Other requirements expertise in the field of research current involvement in (international)

research projects qualifications related specifically to

supervisor duties

defined at the level of state or institution

Who should define requirements?

Should the requirements be satisfied by all (external) members of the supervisory team?

Special requirements for supervisors of professional doctorates?

How to verify whether or not the requirements are satisfied?

Formal procedure to register as a (principal) supervisor?

11

Training and assessment of supervisors

Training of supervisors training for new supervisors ‘refreshing’ training for experienced

supervisors

Assessment of supervisors periodical review by the programme

director/dean of graduate school, … evaluation by doctoral candidates

Should the training be mandatory? What in case of team supervision?

What should be the scope and form of training?

How to overcome the resistance of professors?

How and by whom should supervisors be assessed?

Should doctoral candidates be involved?

What should be a consequence of a negative assessment?

12

Monitoring and assessment of candidates

Scope work plan + timelines research progress

(outcomes) learning outcomes (incl.

transferable skills)

Form critical review of periodical

progress reports (submitted by the candidate)

periodical review meetings ‘milestone’ reviews (thesis

proposal, …) examinations (comprehensive, ...)

How often should periodical reviews take place?

Who should be involved (besides the supervisor)?

How to divide responsibilities in case of team supervision?

What examinations should the candidate take?

Documentation notes student logs web-based platforms progress reports by the

supervisor

13

SUMMARY AND GOALS

no ‘one-fits-all’ solution

different national, institutional, and disciplinary cultures

diversification of doctoral training

different ideas on supervision, monitoring and assessmentof doctoral candidates

Explore current issues and recent developments Show & discuss examples of good practice Share positive & negative experiences Identify emerging trends Reach consensus on recommendations Identify areas for further discussion

14

Selection/assignment of a supervisor

assigned upon admission

or after completion of coursework

tutor/guide (guidance during the coursework period)

research (thesis) supervisor

little involvement of the candidate

acceptance of the candidate necessary

procedure for supervisor change

assigned upon admission

At what stage of training should the thesis supervisor be assigned?

What criteria are used by candidates when looking for their future supervisors?