Researcher Supervision Procedure

Intent

In compliance with the principles of the James Cook University (JCU; the University) Code for the Responsible Conduct of Research (Research Code), Singapore Statement on Research Integrity, Authorship Procedure and Publication and Dissemination of Research Procedure, this Procedure provides advice to understand the best practice in research supervision.

Some of the definitions and other text in this Procedure are reproduced from the NHMRC Supervision Guide.

This Procedure addresses Higher Education Standards Framework (HESF) Standard 4.1.1.

Scope

This Procedure applies to all University staff and students (including Higher Degree by Research (HDR) candidates) that conduct research under JCU auspices including Affiliates of James Cook University (JCU, the University), Singapore and Brisbane campuses.

Definitions

Except as otherwise specified in this Procedure or the JCU Code for the Responsible Conduct of Research, the meaning of terms used are as per the Policy Glossary.

Procedure

1. University Responsibilities

1.1 Supervisors

JCU will ensure that Supervisors:

• are supported in providing guidance on the Research Code, including provision of training for new supervisors;
• have current knowledge of the methods and content of research in the relevant fields or disciplines and are engaged in producing relevant research outputs in, or otherwise making original contributions to, fields or disciplines relevant to the research of those under their supervision;
• recognise that supervision is an essential element of research roles at JCU;
• should have their workload managed in such a way that their ability to provide effective supervision is not impacted.

1.2 Research Trainees

JCU will provide training for all research trainees, including, but not limited to:

• the principles and responsibilities of the Research Code and its Procedures;
• research ethics (human ethics and animal ethics requirements);
• research ethics where research involves Aboriginal or Torres Strait Islander Peoples and Communities;
• occupational health and safety and environmental protection;
• mechanisms for dispute resolution;
• technical matters appropriate to the trainee’s discipline.

This training should have high priority for completion early in a research trainee’s studies and/or career and before any recruitment of human participants or use of animals in research is undertaken.

2. Supervisor Responsibilities

Supervisors are important role models to less experienced researchers and as such have obligations to maintain a high degree of professionalism, research integrity and to to foster and promote best practice in research in a supportive research environment.

Supervisors must:

• maintain objectivity and manage any potential, perceived or actual conflict of interest that may arise in their relationships with those they supervise, including appropriately managing any changes in the nature of the relationship. These changes may mean necessary variation to the supervisory arrangements.
• engage and participate in ongoing professional and refresher development and actively seek out relevant training opportunities to improve their supervisory expertise.
• support and encourage early engagement with the professional development of research trainees through every stage of the research process, from conceptualisation and planning through to dissemination of outcomes and as appropriate, publication and follow-up activities.  Development should encompass discipline-based research methods and other relevant skills, such as the ability to interact with industry and to work with diverse communities. The Supervisor must guide this development in all matters relating to research conduct and process, including but not limited to:
  • identifying the research objective, approach and methodology to ensure that they are appropriate and valid;
  • obtaining ethics and other approvals;
  • obtaining funding (including the relevant funding body responsible conduct of research policies and procedures);
  • ensure that appropriate guidance is sought on engagement with Aboriginal and Torres Strait Islander Peoples and Communities regarding consent and culturally informed research practices.
  • guidance on fostering a respectful and culturally aware engaged and effective collegial and supervisory relationship;
  • ensure that research trainees receive appropriate credit for their work; and
  • reporting the research outcomes in appropriate forums and media

3. Supervisory arrangements

3.1 Supervisory arrangements for research trainees must be conducted in accordance with the relevant JCU policies and procedures, including Graduate Research School (GRS) requirements for HDR Advisors. Supervisors and research trainees should agree in writing on:the appropriate level of oversight of the development and conduct of the research;

• the frequency and format of meetings;
• expectations related to contact between meetings;
• expectations related to the involvement of the supervisor in the work of the research trainee under supervision, or vice versa, on the same project, if relevant;
• the process for raising concerns and resolving disputes;
• when and how the above matters will be reviewed during the supervisory relationship.

3.2 If remote supervision is provided, arrangements must ensure that the research trainee is not disadvantaged, and the use of appropriate technology is encouraged. Likewise, if supervisory arrangements are altered or terminated the welfare of supervisors and affected HDR candidates and other trainees will be a key concern the relevant Head of Work Unit will provide reasonable support.

4. Research Trainee Responsibilities

Research trainees must:

• demonstrate a professional attitude towards their research;
• work cooperatively with their supervisor;
• ensure their work is consistent with the principles of the Research Code;
• complete all training and professional development requirements as soon as possible and participate in any ongoing and refresher training opportunities. Additional development and education is required of HDR candidates.
• play an active part in maintaining an appropriate schedule of meetings, as sessions with supervisors are important and require the cooperation of both parties.

5. Use of Artificial Intelligence

Research trainees must discuss the use of Artificial Intelligence (AI) tools in their work with their supervisors and follow the guidelines provided by the GRS (GenAI Guidelines). These Guidelines provide advice for use of AI including, guidance on ethics and bias, copyright, confidentiality, transparency, professionalism, authorship and assessment.

6. Potential Breaches of the JCU Research Code

6.1 Any concerns or complaints regarding the potential breach of the Research Code will be investigated in accordance with University policy and procedures. Examples of breaches of the Research Code related to supervision include, but are not limited to:

• Failure of a supervisor to provide adequate guidance or mentorship on the Research Code to research trainees under their supervision;
• Demanding or accepting authorship of a research output on the basis of supervision where the individual does not also satisfy authorship criteria in the Authorship Procedure.

6.2 In the case of an investigation of a potential breach of the Research Code, the University will review supervisory arrangements and manage any changes to these arrangements in consultation with Head of Work Unit and in the case of HDR candidates, the Graduate Research School.

Related policy instruments

JCU Code for the Responsible Conduct of Research (Research Code)

Managing and Investigating Potential Breaches of the JCU Code for the Responsible Conduct of Research

Authorship Procedure

Publication and Dissemination of Research Procedure

Staff Code of Conduct

Student Code of Conduct

Conflict of Interest Policy

Conflict of Interest Procedure

Higher Degree by Research Policy

HDR Advisory Procedure

Schedules/Appendices

Nil

Administration

NOTE:  Printed copies of this procedure are uncontrolled, and currency can only be assured at the time of printing.

Approval Details

Revision History