GRADUATE SUPERVISION

Guidelines for Students, Faculty, and Administrators

School of Graduate Studies

University of Toronto
63/65 St. George Street
Toronto, Ontario, Canada
M5S 2Z9
Second Edition, June 2012

Contents
Preface ..................................................................................................................................................... 2
Introduction ............................................................................................................................................. 3
Choosing a Supervisor ............................................................................................................................ 4
Clarifying Expectations ........................................................................................................................... 6
Responsibilities ....................................................................................................................................... 8
Student ................................................................................................................................................. 8
Supervisor ............................................................................................................................................ 9
Supervisory Committee..................................................................................................................... 10
Graduate Unit .................................................................................................................................... 12
Problem Solving .................................................................................................................................... 13
Cross-Cultural Issues ............................................................................................................................ 14
Finishing Up .......................................................................................................................................... 15
Scenarios................................................................................................................................................ 16
Appendix 1: Resources, People and Facilities, Policies, Other ...................................................... 22
Appendix 2: Checklist for Students .................................................................................................... 23
Appendix 3: Checklist for Supervisors ............................................................................................... 24

Graduate Supervision Guidelines, Second Edition

Preface
Most graduate research degrees culminate in a thesis. Thesis students require supervisors.
There are few relationships more important to these students than their relationship with their
supervisor. The centrality of this relationship requires that it be entered into and maintained with
great care. It is incumbent on the University to do everything possible to provide guidance in how
to maximize the likelihood of excellent supervision. The School of Graduate Studies (SGS) is
charged with the responsibility of providing that guidance for the University graduate community.
The previous version of this document is now 10 years old. It is time for the update that follows.
This document should be seen as a set of best practices, that is, a distillation of what we
have learned at SGS from observing both highly successful and less successful supervision. We
have concluded that there are some general guidelines, policies, and suggestions that are likely
to help make the thesis experience a rewarding one for students and supervisors as well as
ensure successful completion. These Guidelines provide direction on choosing a supervisor,
establishing a supervisory committee, and maintaining a productive working relationship among
all three. They point to the respective responsibilities of students, supervisors, and graduate
units (departments, centres, and institutes). They also provide advice on reducing and solving
problems that may arise. The Appendices contain a list of resources including related websites,
and a checklist that summarizes our suggestions about what students and supervisors should
clarify before entering into a formal relationship.
Many people assisted in the preparation of this document. In particular, I would like to thank
Berry Smith, Vice-Dean, Students, at SGS. Thanks are due also to Heather Kelly and Jane
Alderdice of SGS, Helen Slade (Student Life) for valuable contributions, and Liz Smyth (ViceDean, Programs) and others for editorial advice.
It is our hope that these Guidelines will lead to excellent supervision.

Brian Corman
Dean

June 2012

Graduate Supervision Guidelines, Second Edition

Introduction
At the University of Toronto, doctoral programs require original research and a written thesis
that is defended at a Final Oral Examination. Many masters programs also require the student to
do research and write a thesis. Fundamental to these programs is the idea of supervision: a
graduate faculty member (or occasionally more than one) takes primary responsibility for helping
the student learn the craft of research and proceed successfully to the degree. These Guidelines
have been written to help graduate students, faculty supervisors, and graduate administrators by
describing best practices in graduate supervision. Our hope is that a clear understanding of
responsibilities and expectations by all participants in the supervisory process will reduce
potential problems and optimize the experience.
Research degrees at the University of Toronto are offered in many programs, extending across
the full range of humanities, social sciences, physical sciences and engineering, and life
sciences; therefore, it is not surprising that there is considerable variation in supervision across
the University. At one extreme, students interact and receive guidance from supervisors and
others in the group daily; at the other, students are seen as essentially independent researchers
who learn and operate alone, receiving only occasional guidance.
Regardless of the local culture, there are policies, general guidelines, and suggestions that
should inform good supervisory practice in all disciplines. These Guidelines attempt to collect
best practices together in one place. We hope all graduate students and faculty consult them on
more than one occasion; though not everything about graduate supervision can be covered, there
is much here that should be helpful throughout the program of each graduate student.
Good graduate supervision can be recognized by a number of characteristics. It should
inspire and guide students to reach their full scholarly potential. It should provide an
environment that is supportive yet stimulating. It should enable students to learn the essential
methodologies, concepts, and culture of their discipline, and perform research of high quality
and significance. It should introduce them to the wider context of the discipline and the relevant
communities of scholars, and help position them for future careers both within and outside
academe. It should foster a strong sense of academic integrity. And it should help students
successfully navigate the journey through their program with a clear understanding of the
appropriate requirements, rules, and procedures, and with any emerging problems handled in a
timely fashion with compassion and clarity.
The success of good supervision is a shared responsibility. It depends on both student and
supervisor communicating well, being tolerant and understanding, and each holding the other to
high standards. The graduate unit (department, centre, or institute) also plays a role, providing
clarity and consistency of expectations, upholding academic standards, administering the
program fairly and effectively, and intervening where necessary to help resolve problems. These
Guidelines are intended to help all participants fulfil their roles and to ensure that the
supervision of graduate students at the University of Toronto is of the highest quality.
This edition borrows heavily from the previous (2002) version, but has seen substantial
reorganization, rewriting, and updating. New material deals with special circumstances such as
cultural differences and accessibility issues, and includes several scenarios that may help in
addressing problems.

Graduate Supervision Guidelines, Second Edition

Choosing a Supervisor
The three most critical choices facing a student pursuing a research degree such as a PhD
are the institution, the program, and the supervisor. These three are not independent: some
students know with whom they want to work, which determines both program and institution.
Some students know exactly what research question they wish to pursue, which may determine
both institution and supervisor. But most apply to a particular program at a particular institution,
where there may be many potential supervisors. Some programs assign a supervisor at the start of
the program or later, but in most cases, students need to choose a supervisor who will be their
mentor, director, and evaluator for the next year or two in the case of a research masters, or the
next few years in the case of a doctoral program. In many programs, students are only accepted if
they can find a willing supervisor, so this may have to be done before the student arrives on
campus.
The student-supervisor relationship is a key factor in determining a successful and satisfying
doctoral apprenticeship. When it works well, students not only learn the craft of research
scholarship, but also gain an advocate who will speak on their behalf, are welcomed into a
network of professionals, maybe acquire a lifelong colleague and friend, and experience the deep
satisfaction of academic work and the creation of new knowledge. When it does not work as well,
students may lose their enthusiasm for research as a career and abandon their pursuit of a higher
degree. So what can be done to help ensure that the choice of supervisor is a good one? Clearly,
the potential supervisor should be highly qualified in the expected area of research. But there are
many other factors that can affect the success of the relationship.
Here are some suggestions for how you as a student might find some answers:

Look up online information on potential supervisors. Check their bios on their graduate
units website: many faculty make their CV available, and this will tell you about their
research interests, their publication and other academic activities, their grant support,
what other graduate students they have supervised, and how busy they may be on
activities away from their lab or office. Remember, however, that faculty compose their
own CVs, so you may not find all of the information that is important to you in making a
decision!
Check other online sources: use your favourite search engine for potential supervisors,
investigate any blogs, discussion groups, or social networking sites they may have in order
to get a sense of who they are.
If you are applying from another institution, check with professors you know who might be
aware of faculty in your area of interestthey could offer valuable insights to help you
evaluate potential supervisors.
Contact the units graduate office (visit in person if possible) and talk to the graduate
coordinator (the faculty member responsible to the chair or director for the graduate
program) and/or the graduate administrator (the administrative staff member assisting the
graduate coordinator). These people can be an invaluable source of information about the
program and the faculty.
Check the website or CV of the potential supervisor, or check with the graduate
administrator in the department, to identify graduate students who are currently being
supervised or who have recently graduated. Talk to them and let them know you are
thinking of becoming the supervisors student, and ask them for comments on the style of
supervision, what sort of person the supervisor is, whether there are or have been any

Graduate Supervision Guidelines, Second Edition

issues, and so on. Do this in person if you caninformation may be more forthcoming
over a pizza and drinks than over email!
If you can, visit the graduate unit and arrange to speak face-to-face with potential
supervisors.

Here are some questions you might want answers to before you choose:

What previous supervisory experience does your potential supervisor have? Faculty are
usually self-taught in the art of supervision, starting with their own experience and
learning as they go. With a novice supervisor, you might want to ask how supervision was
handled in their own doctoral program. With an experienced supervisor, you should be
able to consult previous or current students.
How many graduate students does a potential supervisor have? Compare this number to
others in the same graduate unit or discipline. High numbers are more common in the
sciences. They may mean a high-profile successful researcher and supervisor, but could
also mean you get less direct supervisory attention and a more impersonal, standardized
program. Small numbers are not uncommon in the humanities; in any discipline they
could mean you get to interact with your supervisor one-on-one more often, but may also
mean you have few colleagues to talk to, particularly in small graduate units.
How long does it take students to graduate with this supervisor? How does this compare
with the graduate unit norm? Do the majority of students need extensions (i.e., take more
than six years when entering with a masters degree)? Though the graduate unit may not
be able to provide specific and detailed information, it should be able to indicate whether
times are unusually long or short. You may also be able to glean this information from the
potential supervisors CV if it lists starting and finishing dates for supervised students.
Is there any consistent history of students failing to finish their degree with this
supervisor, or finishing only with difficulty after a history of conflict? Again, this
information will not be on a CV, but the graduate office or other students may be able to
tell you.
Are there any personal characteristics or circumstances (either on your part or the
potential supervisors) that might make it difficult to establish trust and respect in the
relationship? Are you prepared to discuss these and try to resolve them early in the
program?
What is the supervisors role in providing financial support? You should find out what the
graduate units policy is on funding doctoral (or research masters) students. Particularly
in the sciences, support in the form of research assistantships is usually available from
supervisors research grants (in some units, this is the sole support). Ask the graduate
office whether your potential supervisor has appropriate grants to do this. You might also
want to find out whether the supervisor has historically provided support if you dont
finish before other funding ends.
If you anticipate significant research expenses, what is the expectation for covering them
in your program? Research programs in the sciences usually need substantial equipment
and supplies. In all disciplines there may be travel or field expenses. Does your potential
supervisor have sufficient grant funds to support the research? How much, if any, of these
expenses are you expected to cover? In any program, travel to present at conferences
should be expected; can and will your potential supervisor help?
Is your supervisor willing to help you find a suitable job after graduation? For some
students, this is not important, whereas others may expect useful assistance. Check the

Graduate Supervision Guidelines, Second Edition

supervisors presence on the web and social media; if possible, talk with students who
have graduated. The CV may indicate how actively involved the supervisor is in national
and international communities within the discipline, and whether they have the scholarly
or professional status to be of real help. If possible, ask your potential supervisor directly
what you can expect.
Is the culture of the supervisors operation one where students are expected to be
independent, rarely meet with the supervisor, and work on topics that are not part of their
supervisors research program? Or conversely, would you mostly be part of a team, doing a
prescribed part of a larger project, be expected to report weekly, and operate with little
independence? This varies not only across disciplines, but even within single programs.
You should make sure you would be comfortable within the culture.
Is the potential supervisor going to be reasonably available for the duration of your
program? Are they intending to retire soon, or leaving for another position? Do they have a
significant administrative responsibility, and if so, how might that affect their ability to
supervise effectively? Are they frequently away from campus, or planning to be away
during a research leave?
Are you a student with personal academic needs and concerns that could impact your
ability to carry out the planned research or otherwise affect your proposed program? For
instance, you may have family responsibilities, health or disability issues, or special travel
needs. If so, you may want to have discussions with potential supervisors and the
graduate coordinator to discuss your particular circumstances. (See also Scenario 8 below
for a discussion of accessibility issues.)

You may not find satisfactory answers for many of your questions, but awareness of them may
help you anticipate and minimize problems down the road. If you can meet with your potential
supervisors, you could also address some questions in the next section to help with your
decision.

Clarifying Expectations
Successfully navigating the four to six years of the typical doctoral program requires a
combination of goodwill, collegiality, flexibility, and rational decision making on the part of both
student and supervisor. However, problems sometimes arise when the expectations of both
parties differ, but this is only discovered late in the program. For instance, the supervisor may
claim senior authorship on all publications arising from the laboratory, but does not reveal this to
the student, who, after consulting with students in other laboratories, comes to believe the
student should be senior author. Unacknowledged expectations can also differ from those of the
graduate unit or SGS.
A requirement of SGS is that there must be a meeting at least once a year of the student
and supervisory committee at which the student is expected to demonstrate satisfactory progress.
The supervisor and student may have a mutual unspoken understanding that such a meeting is
not really necessary until suddenly the supervisor becomes aware that the student is way
behind in the research, decides this is not going to work out, and wants the student out of the
program. But this is unfair to the studentwho should have received plenty of warning and had
opportunities to improve performanceand unfair to the graduate unit, who may have been able
to assist in various ways if they had known about a growing problem. Such problems can be
minimized if expectations, including the regulations that must be followed, are made clear as
early as possible in the program.
Graduate Supervision Guidelines, Second Edition

Students should expect, and supervisors should provide, enough quality time at the
beginning of the supervisory relationship to discuss and clarify not only expectations, but also the
reasons behind these expectations and their degree of flexibility. We recommend that the most
important and least flexible expectations should be set down in writing as a form of contract or
memorandum of understanding. This could be as formal as an actual printed document signed
by both parties (see the Checklist in Appendix 2 at the end of these Guidelines for an example),
or as informal as an email summary of what was discussed at a meeting. Such a document can
serve as a useful reminder of what was agreed, and can be important if there are future
problems. It should be revisited and updated periodically after discussion between student and
supervisor.
Some questions and topics that might be covered in initial discussions between student and
supervisor are:

Frequency and modes of contact. Are regular meetings required? How often? Who
schedules them? Is the student expected to bring a written report, or present orally? Are
regular meetings one-on-one or group meetings with other students? What about informal
meetingsis there an open door approach or does the student need to book an
appointment?
How should non-scheduled communication be handled (e.g., setting up appointments,
notification of temporary absence, lateness for meeting, etc.)? Land line, cell phone,
email, dropping by the office, or other means? Does it matter? How soon should
responses to email, for example, be expected?
Where and when is most of the work to be carried out? In the graduate unit, in the library,
at home, or elsewhere? Where does the supervisor normally expect to be if contact is
needed? What are expectations for normal working hours? Weekends, holidays?
What are timing expectations in terms of major milestonescourses, comprehensives,
thesis proposals, supervisory committee meetings, research objectives, paper submission,
conference presentations, drafts of thesis, and so on? Good practice is to plan a timeline
for the total program at the beginning and then revise periodically.
How will the thesis topic be decided upon, and when? This varies among disciplines and
graduate units, but should be understood at the beginning.
How is feedback on progress achieved? Graduate units should require formal written
reports on annual committee meetings, but what about less formal meetings? It is good
practice to have a written record for any significant feedback that requires some action
from the student and/or supervisor.
What is the expected turnaround time on drafts of written material such as thesis
chapters, papers, conference presentations, grant proposals, etc.? Two to three weeks is a
reasonable upper limit under normal circumstances. If there will be abnormal delays, how
will this be conveyed to the student? What alternatives are there if the delay would be
unreasonably long?
If the research will be done mostly in a laboratory, what is the lab etiquette? In large
labs, who is responsible for what? Is there necessary preparatory training, and how and
when will this be done?
What are expectations concerning publications and conference presentations during the
thesis work? Experience in presenting scholarly work is an important part of graduate
training, and makes students more competitive in scholarship competitions. How will
conference expenses be paid for?

Graduate Supervision Guidelines, Second Edition

Intellectual property issues. These are complex and the subject of another set of SGS
guidelines available on the SGS website.
What opportunities will there be to meet others in the field and begin to build academic
networks? How will the supervisor assist in this, and how much is up to the student?
How and when will the supervisory committee be formed?

Responsibilities
Success in a research masters or doctoral degree depends primarily on the student. Other
parties share in the responsibility, however, and foremost amongst these are the supervisor and
the graduate unit responsible for the program. To a lesser extent, but still important, are the
students supervisory committee members. In this section we outline some of responsibilities,
both explicit and implicit, of these principal parties.

Student
Clearly, in order to graduate, any student in a graduate program must fulfill the degree
requirements of the program and abide by the general and degree regulations of SGS. Doing so is
your responsibility. But a high-quality graduate student experience should be much more than
simply getting the degree. Ideally, students should graduate with a passion for learning and
research, a respect for academic colleagues, a network of valuable contacts, a deep
understanding of academic integrity and other professional standards, positive feelings toward
the supervisor, program, and institution, and a skill set useful in a wide range of related careers.
Optimizing these depends not just on the academic environment, but also on you and your
relationships with the other parties. Some of the more important student responsibilities are:

Becoming familiar with, and adhering to, the rules, policies, and procedures in place in
the graduate unit, the School of Graduate Studies, and the University as outlined in
resources such as graduate unit websites or handbooks and the SGS Calendar and SGS
website.
Being aware of and conforming to the timelines and deadlines associated with many parts
of the program such as registration, candidacy (for doctoral programs), committee
meetings, and thesis submission.
Preparing a research plan and timetable for the program of study. A good approach is to
work with your supervisor or advisor to formulate a timeline for the whole program, noting
important milestones and deadlines such as: establishing a thesis topic; completing a
literature review; achieving intermediate research goals; attending conferences, doing
seasonal fieldwork, publishing papers; completing the research; analyzing data; and
completing drafts of the thesis. You can usefully revisit this plan at annual committee
meetings or more often, and revise it as appropriate.
Ensuring that meetings with your supervisor and other committee members actually
occur. You should not always rely on others to arrange meetings; though many supervisors
schedule and insist on regular meetings, others may be less proactive. The student shares
equal responsibility for making sure that progress, results, and plans are discussed. In the
best supervisory relationships, there is adequate opportunity to discuss more than the
weeks results: again, you share responsibility in making this happen.
Establishing an appropriate supervisory committee. How much say you have in choosing
committee members varies across graduate units, but ideally both student and supervisor
approve of, understand, and are comfortable with the choices. Though timing depends on

Graduate Supervision Guidelines, Second Edition

the culture of the graduate unit, this should be done as early as is reasonable, certainly
no later than the end of the second year of study in doctoral programs. In many graduate
units, particularly in the sciences, supervisory committees are formed as early as initial
registration in the program. In others, they may be constituted after a research proposal
or comprehensive exam is completed. For some research masters programs, a supervisory
committee is also required. Check the graduate unit regulations.
Letting the supervisor know how you can be contacted, when you will be unavoidably
absent (e.g., due to illness or to attend to family obligations), and informing your
supervisor of anything significant that may affect your academic progress or that of
others. If you are a member of a group, for instance, in a large laboratory you will also
have responsibilities to others in the group, including keeping them informed of matters
that may affect them.
Keeping your supervisor or, if necessary, your graduate coordinator informed if there are
emerging problems in the supervisory relationship.
Behaving in an appropriate way that contributes positively to the atmosphere, culture,
and productivity of the research group and/or supervisor. Successful supervisory
relationships are synergistic, with both student and supervisor benefitting more than they
would without it. Both share responsibility in making it so.
Acquiring the necessary technical, health, and safety skills for undertaking the proposed
research and adhering to the ethical practices appropriate to the discipline.

Supervisor
A faculty members primary task as a graduate supervisor is to guide and inspire his or her
students to reach their scholarly potential. At the same time, supervisors must help ensure that
their students know and comply with the rules and regulations of the University. Over the course
of the graduate program, the supervisor may be mentor, guide, teacher, rule enforcer,
collaborator, and judge. Fulfilling all these sometimes conflicting roles is a challenge,
particularly in the absence of any formal training for the task! Good supervisory practice
includes:

Guiding the student in the selection and planning of a meaningful and appropriate
research topic that can be successfully completed within the normal time limit for the
degree program.
Ensuring that students have an understanding of the relevant theories, knowledge, and
background literature, and the methodological and technical skills necessary for the
research.
Establishing with the student a realistic timetable for completion of the program,
preferably including a number of milestones to measure progress along the way.
Providing adequate opportunity and a positive environment for discussion and
constructive criticism of ideas, research plans, research results, and thesis drafts as the
research progresses.
Providing sufficient and appropriate guidance and commentary on progress to help ensure
successful completion of the program. This should include:
o
o
o

establishing regular meeting times for discussion and review of progress

being reasonably accessible for unscheduled meetings
keeping track of progress and investigating any concerns

Graduate Supervision Guidelines, Second Edition

Ensuring that a supervisory committee is established in accordance with graduate unit

practice and regulations. This should be done as early as possible in the program, and no
later than the end of the second year.
Ensuring that the committee members meet together as a committee with the student at
least once a year, that the meeting is meaningful and helpful, and results in an annual
written report of the students progress.
Making arrangements to ensure continuity of supervision during leaves or extended
periods of absence.
Being aware of, and ensuring the student is aware of and abides by, all relevant policies
and requirements for both the academic program and the research (see Policies and
Other guidelines in Appendix 1).
Ensuring the student understands the need for, and what is meant by, the highest
standard of academic and scholarly integrity both in coursework and research.
Assisting and encouraging the wider professional development of the student by means
such as:
o
o
o
o

Helping the student in the transition from degree program to employment; for example,
by:
o

o
o

participation in seminars and colloquia

attendance and presentation of work at local, national, or international conferences
publication of work in appropriate journals
taking advantage of the numerous offerings provided by the University for professional
development, including SGSs Graduate Professional Skills (GPS) Program

providing advice on career options, including those outside academe, the state of the
job market, how to prepare a CV, and strategies for launching an academic or other
professional career
introducing professional colleagues and assisting in establishing a network of contacts
being willing to write letters of reference and communicate with relevant contacts

Ensuring that the research environment is safe, equitable, and free from harassment and
discrimination.
Avoiding personal or business relationships that may constitute a conflict of interest.
Being open, honest, and fair with the student when academic performance is not meeting
expectations. While dealing with inadequate academic performance can be difficult, it is
in no ones best interests to prolong a program of study when success is unlikely. (See
section on Problem Solving.)

Supervisory Committee
All doctoral students should not only have a supervisor to assist them through their program,
but also a supervisory committee. This is a formal requirement for a PhD at the University of
Toronto, but many graduate programs also establish supervisory committees for research masters
studentsa useful practice. Supervisory committees not only help ensure academic standards in
the discipline through their evaluative role in the required annual committee meetings, but can
and should provide considerable additional value. Committee members should be able to provide
expertise that complements and expands on that of the supervisor. They can act as a valuable
sounding board for discussion of ideas emerging in the research. And in cases where
relationships with the supervisor are less than ideal, they can provide advice, mentoring, and, if
necessary, mediation in problem solving.

Graduate Supervision Guidelines, Second Edition

10

Consequently, supervisory committees are most valuable if they are established as early as
feasible in the students program, if the members are chosen carefully, and if both student and
committee members are able and willing to interact more frequently than the necessary annual
meeting.
Formally, the graduate unit is responsible for monitoring the progress of doctoral students
through the supervisory committee, as follows:

A supervisory committee should consist of the supervisor and at least two graduate
faculty members, which are usually, but do not have to be, from the graduate unit
responsible for the program. Interdisciplinary topics often benefit from the presence of a
committee member drawn from another graduate unit.
The supervisory committee must meet with the student, as a committee, at least once per
year to assess the students progress in the program and to provide advice on future work.
This meeting should be substantive and rigorous, not a brief, casual one only held to
satisfy regulations. Meetings should be more frequent if there are significant questions
concerning progress and performance.
The committee must prepare a formal report of its assessment, detailing its observations
of the students progress, and its recommendations.
The student must be given the opportunity to respond to the committees report and
recommendations, and to append this response to the committees report.
Copies of the report must be given to the student and filed with the graduate unit.
The supervisory committee is also responsible for advising the graduate unit that a
doctoral thesis is ready to proceed to examination (though see Scenario 3 later in this
document). This means that the committee should be involved in advising when and if
the research is complete and adequate, reading and giving feedback on drafts of the
thesis, and approving the final draft as ready for examination.

Though it is ultimately the responsibility of the graduate unit to ensure a committee is

chosen, choice of committee members is best done in discussion between supervisor and
student. Some points to consider in choice of committee members are:

Their field of expertise: can they add value to the students research program?
Will they be around and available for consultation and meetings throughout most of that
program?
Will they be approachable?
Can they be objective enough to help if problems arise? Since committee members can
be important to help if things go wrong, it is good practice to avoid having committee
members that have close personal relationships or other potential conflicts of interest
such as being a junior member of the supervisors research team.
Is there a good balance? Do their areas of expertise cover a sufficient range? Can a strong
personality be matched by others willing to speak up?

Though the relationship between student and supervisory committee member is typically far
less close than with the supervisor, some of the earlier suggestions for choosing a supervisor may
be useful when thinking about prospective committee members.

Graduate Supervision Guidelines, Second Edition

11

Graduate Unit
All graduate students at the University of Toronto have a home graduate unit (a
department, or extra-departmental unit such as a centre or institute), which is the unit
responsible for the program of study in which the student is enrolled. This responsibility not only
includes managing the graduate program(s) and maintaining the appropriate academic
standards, but also ensuring that students in the program receive high-quality supervision and
effective support in other matters. The person responsible in each graduate unit is the graduate
chair, usually the chair or director of the unit, but in most units much of the day-to-day
responsibility for managing the program and advising its students is delegated to a faculty
member acting as graduate coordinator (though the person may be listed in the unit by another
title such as associate chair, program director, or program coordinator). Also in most units,
administrative staff assist in the managing of the graduate operation. Students should get to
know the administrative staffan invaluable resource for information, advice, and assistance in
all graduate mattersand consult them first in case of problems that cannot be resolved
between student and supervisor.
Responsibilities of the graduate unit include:

Making available, through appropriate media, clear and understandable information about
program requirements, regulations and procedures, the faculty and staff responsible for
the graduate program, available financial support, and graduate faculty members and
their areas of research expertise.
Having procedures in place to connect students and potential supervisors, and to allow
and/or ensure a change in supervisor in the unlikely event that this becomes necessary.
Ensuring that the graduate units funding policy is applied fairly and consistently, and
that scholarships and other financial support are disbursed in a fair and equitable manner
that is consistent with that policy.
Providing mechanisms to assist students with the transition into their new program, or
through major steps such as the beginning of research or thesis writing. Examples
include:
o
o
o

assigning senior graduate students as mentors

arranging for a temporary faculty advisor if choice of supervisor is not immediately
available
workshops and orientation sessions for both new and continuing students, which
might cover:

program policies and requirements

areas of faculty expertise for research supervision
expected performance and timelines for completion of degree requirements
intellectual property issues including publication and authorship
scholarship/funding information
policies regarding the proper conduct of research, sexual harassment, race
relations, safety and workplace regulations
procedures for complaints and appeals
availability and procedures concerning teaching assistantships
resources to help with teaching and other professional skills

Ensuring and maintaining an effective communication system with graduate students.

Providing appropriate workspace for its students.

Graduate Supervision Guidelines, Second Edition

12

Ensuring that approved supervisory committees are established by the appropriate

deadlines (see SGS Calendar for timings).
Ensuring that the students supervisory committee meets at least once a year with the
student, that this meeting is substantive, and that a written report of this meeting
containing sufficiently useful detail is given to the student and filed in the official
student file with the graduate unit.
Providing mechanisms for resolving problems that may arise between graduate students,
supervisors, and/or members of the supervisory committee, including funding issues.
Establishing a Graduate Department Academic Appeals Committee (GDAAC) to review
formal academic complaints from students.
Ensuring a safe, equitable, and fair working environment for students, and informing
them of all relevant safety and work regulations.
Being sensitive to individual academic needs and concerns that may arise, for instance,
with international students, students with disabilities, or students with family
responsibilities.

Problem Solving
For both student and supervisor, the path toward successful completion can sometimes
become difficult. Problems can arise in many ways, though most involve academic, personal,
and/or financial issues. These Guidelines are in good part a recipe for avoiding problems: good
match between student and supervisor, clarity and reasonableness of expectations, and
awareness and fulfillment of responsibilities by all parties should help. If problems do arise, here
are some general suggestions and resources to aid in resolving them (more specific problems are
addressed in Scenarios below):

Take early action. Though this is obvious, it is all too easy to avoid confronting difficult
situations and hope things will get better. They sometimes do, but often dont. Solutions
are usually simpler and easier to effect before the problem escalates and positions
harden.
Try to be objective and rational. Find the root cause of the problemit may not be what
is obviously being presented.
Problems are rarely completely one-sided: solutions often need compromise and
flexibility.
Someone else has undoubtedly had a similar problem: dont feel alone. Communicate,
seek advice, and take advantage of others experience.
Seek resolution at as low a level as possible: there are informal and formal appeal
processes, chains of command, and so on, but going higher generally means more time,
complexity, and cost.
Remember that there is a real power imbalance in the supervisory relationship: students
may not feel able to speak freely and may worry about recriminations. Committee
members and the graduate coordinator may be able to help, but can be perceived as part
of the power group. Be prepared to go outside the graduate unit for assistance in
difficult cases.
If a problem cannot be resolved between student and supervisor, either or both can
consult committee members, the graduate coordinator of the program, the chair or
director of the graduate unit, and SGS staff including Student Service Officers, the
Director of Student Services, and the Vice-Dean of Students. Students may also want to

Graduate Supervision Guidelines, Second Edition

13

talk to other students, and the Graduate Student Union representative(s). There are also
many services offered by the University including Counselling and Psychological Services
(CAPS), Accessibility Services, the Ombudsperson, and skilled personnel dealing with
crisis response and issues of student academic progress, safety, sexual harassment, race
relations, and so on (see Appendix 1, Resources). Contact the Director of Student
Services at SGS for more information.
Problems can also arise between a student and a supervisory committee member, and the
guidelines above may be useful here too.

Cross-Cultural Issues
Graduate students (and faculty) at the University of Toronto increasingly come from a variety
of cultural backgrounds. Both student and supervisor should be aware of the possible impact of
culture on the supervisory relationship to ensure an optimal experience. An excellent resource is
the University of Western Ontarios Western Guide to Mentoring Graduate Students Across
Cultures (see Appendix 1), from which the points below are distilled.

Beware of cultural generalizations. Try to be open and positive about differences.

Supervisors can show interest in the students experience and identify areas in which
mentorship is needed.
The student and supervisor may have differing assumptions about the nature of research.
For example, the supervisor may expect considerable initiative in research, whereas the
student may assume the task is to find evidence to support the hypothesis identified by
the supervisor.
Cultures can vary in expected behaviour associated with power differences. This can lead
to students appearing overly formal or deferential, or the supervisor expecting a formality
the student is not used to. Students from cultures with a high deference to and respect of
authority may treat administrative staff, technicians, and more junior students less
respectfully than their supervisor because of an ingrained need to differentiate.
In cultures with high power differences, students may be highly reluctant to question
their supervisors or other faculty, whereas in cultures with low power differences, frequent
challenges and constructive criticisms may be the norm.
Cultural norms can affect the importance of saving face in relationships. Students, for
example, may be unwilling to ask questions lest it reveal a lack of knowledge on their
part, or because questions might cause their supervisor to lose face by implying that he or
she had not explained something adequately.
Communication styles may differ: some cultures value indirectness, others directness.
In Canadian academe, rules are usually considered to be reasonable, are to be followed,
and apply to all. In some cultures, rules can be questioned and individual exceptions may
be expected. In others where unreasonable rules are the norm, people may be used to
breaking them when they can get away with it.
Cultural differences and expectations even exist between one university or division and
another, and may take the unsuspecting student by surprise. Adapting to a new culture,
including the expectations of the discipline, at the same time as getting used to a new
university environment, may take a year or two and can be stressful and confusing.
Supervisors have a responsibility to help mentor their students during this transition, and

Graduate Supervision Guidelines, Second Edition

14

students should try to identify behaviours that are affected by cultural differences and be
prepared to modify them.
Potential misunderstandings can often be minimized by strategies such as depersonalizing
and anticipating the issue; for example, by supervisors saying that they know some students may
be uncomfortable asking questions, but questions are expected and welcome.

Finishing Up
When the program requirements have all been met, and the research more or less completed,
the task of writing the thesis arrives. This can be for some students (and supervisors) a stressful
time, particularly if expectations have not been clarified earlier. We will offer a few observations
that may ease the passage through the final phases of the research degree.
Writing the first draft of a thesis can itself be problematic. Typical writers block may be
compounded by a fear of failure, a reluctance to make public the fruits of labour, a lack of
experience in writing, through apparently excessive demands of supervisory committee members,
or a host of other reasons. Much has been written on writing, and this is not the place to try to be
comprehensive. But a few thoughts:

The thesis is a transient stage in scholarly development. It may be required for the
degree, but it is not (or should not be) the culmination of an academic career. Optimally,
it should be of a quality and quantity sufficient for a clear acceptance at the Final Oral
Examination so the student can earn the degree and move on to the next stages of his or
her career. There is life after the thesis!
Writing a thesis is much easier if started early. Particularly in the sciences, much of the
work may have been written up and published during the program as scholarly articles.
Because these are usually briefer and more constrained, and frequently multi-authored,
they may be less intimidating to produce and provide valuable learning experiences.
Indeed, more and more theses are becoming compilations of published material with
added introductory and concluding chapters. Where prior publication is not the norm, it is
still good practice to write, for example, a literature review as part of the thesis proposal
that can then form the basis of an introductory chapter.
There are numerous resources available on and off campus to help with writing. The
English Language Writing Support (ELWS) programs operated by SGS can be particularly
helpful.

Prompt and constructive feedback on thesis drafts is one of the primary responsibilities of
the supervisor; ideally, the supervisory committee should also be available to read and comment
on later drafts of the thesis. How drafts are handled should be discussed well in advance (see
Clarifying Expectations, above). Students should provide sufficient warning that a draft is about
to appear, and allow sufficient time for reading and comments, which can depend on the
supervisors other commitments, how lengthy the draft is, and how much it has changed from
previous versions.
What is a reasonable turnaround time for drafts? Expecting a thorough reading and
commentary for a lengthy chapter in less than a week would probably be unreasonable. Equally
unreasonable would be for a student not to hear back for more than two or three weeks. The
supervisor being away on research leave should not preclude timely reading of drafts or sign off

Graduate Supervision Guidelines, Second Edition

15

on the final version in these days of electronic communication; if it does produce a problem, an
alternate acting supervisor should be found. If drafts have been read, and comments acted upon,
reading of the final version should also be possible within two or three weeks of submission at
most.
When the thesis is ready for examination, the graduate unit is responsible for notifying SGS
and nominating both an external appraiser and the composition of the Final Oral Examination
committee (see the SGS Calendar for details). However, the supervisor and student are usually
expected to provide suggestions for both. SGS regulations require external appraisers, who
function to assure quality control and the application of international standards to be
appropriately experienced, to be sufficiently knowledgeable in the field and to be at arms
length from both student and supervisor.

Scenarios
1. As graduate coordinator, I have a student in my unit who has decided he/she can no longer
work with his/her supervisor after three years. What are the graduate units obligations and
responsibilities here?
Once a student is admitted to the University and registers, the University through the
graduate unit has essentially entered into a contract with the student and has a duty of care
among other responsibilities. In this case, the graduate unit must do everything reasonable to
ensure the student does not have to withdraw because of lack of supervision. Attempts should
first be made to address any underlying causes of the problem to see if the supervisory
arrangement can be saved. If this does not work, a change of supervisor may be necessary.
Ideally, the supervisor agrees to this, though arriving at that agreement can sometimes be
challenging. Ultimately, the graduate chair has the authority to assign and reassign supervisors
(and committee members), though clearly must be careful in doing so.
It is always best if any breakdown in supervisor-student relationships is brought to the
attention of the graduate coordinator and/or chair as soon as possible, since it is much harder to
resolve the situation when positions regarding issues have become entrenched, and possibly word
may have spread. Often, a supervisory committee member may be willing to take over
supervision. Unfortunately, many graduate programs do not have large numbers of faculty either
qualified or willing to take over supervision of anothers student. The student may need to
compromise, if necessary modifying the thesis topic. In extreme cases, particularly when the
student is close to completion, a nominal supervisor can be appointed. Such a supervisor may
not necessarily be an expert in the field, but should be experienced in mentoring students and
capable of being objective often in the face of heightened emotions; in this situation the
remaining committee members become even more important in providing expert guidance. In
rare cases, if the student is unwilling to compromise, and no faculty can be found to supervise
the student and/or the topic, the student may have no option other than to withdraw from the
program. In all cases the pros and cons of any arrangements should be made clear to and
discussed with the student, preferably by the graduate coordinator, in a non-threatening
mannerideally, the student agrees to the new arrangements willingly.

Graduate Supervision Guidelines, Second Edition

16

2. In my graduate unit, students are expected to find a supervisor by the end of the first
session. If a student has failed to find a supervisor, can we force the student to withdraw?
This would not be a problem where admission was conditional upon finding a supervisor in
the first term (as is the case in some graduate programs where students undertake a lab rotation
before choosing a supervisor). But in other cases it should be remembered that graduate units do
not have the authority to terminate a students registration in a program; they can only request
this to SGS. Whether such a request would be approved depends in good part on how the
requirements of the program have been made clear to students. As in Scenario 1, the graduate
unit has an obligation to provide supervision to any doctoral-stream student it admits. In this
case, only if it were explicit that part of those requirements is the identification of a willing and
suitable supervisor, and that the outcome of failure to do this will be a request for termination of
registration, could a case be made for termination. Even then, we would expect the graduate unit
to have various mechanisms for helping students find a supervisor, and to have done its best to
facilitate the process. In general, we believe best practice in those programs that expect a
supervisor to be identified at the beginning of the program is to require agreement from student
and supervisor prior to admission; admitting a student without assurance that there will be
supervision can lead to stress, uncertainty, and problems when a supervisor does not materialize.

3. I am ready to defend but my supervisor disagrees and wants me to produce one more
publication. Can I submit my thesis for examination without my supervisors approval?
Though the simple answer is yes, we would strongly advise against this. It is best practice
that a students thesis be approved by the supervisor and supervisory committee as ready to
defend. After all, they are responsible for upholding the academic standards of the program, and
(should) have been chosen for their expertise and experience. And if you disagree with their
advice, you should reflect on the possibility they might be right. In this case, is the disagreement
over the content of the thesis, or is it a matter of having enough publications to secure an
appropriate post-doctoral position? Is your supervisor really trying to help, as opposed to simply
trying to enhance his or her CV? Though you should ideally have discussed expectations
concerning publications and length of program earlier than this, you might want to check around
to see what normal expectations are in your graduate unit and discipline. What is the average
time to degree in your unit? What is the average number of publications produced by a PhD
student in your program? Though these data may not be formally collected and available, the
graduate office should have a reasonable idea of what they are.
And though a student may elect to proceed to examination without the full support of the
supervisory committee, remember that committee members also play a role in your Final Oral
Examination. Following the question period of the oral defence, all committee members will be
asked to vote on whether the thesis and its defence are acceptable. If there is more than one
negative vote or abstention at this point, the thesis examination will be adjourned. Though
someone with unreasonable bias should not serve on the examination committee, the onus would
be on you to show evidence of such a bias; the default assumption would be that they were doing
their job responsibly. So, it is risky to move forward without the full support of your supervisory
committee. Keep in mind also that it is in everyones best interest to see a PhD candidate
succeed. Try to reach mutual agreement with your supervisory committee regarding what changes
need to be made. Incorporate these changes as best you can, remembering at the same time that
this is your PhD and that it has to be yours to defend through the examination process. Be aware
that your supervisor and committee members are expected to encourage doctoral students to

Graduate Supervision Guidelines, Second Edition

17

finish up when it would not be in their best interests to extend their program of study; at the
same time, if the thesis or research needs more work, they should point this out. And if after
considering all this, you still feel there is a problem, please do talk to your graduate coordinator
or program chair/director, or consult us at SGS, before proceeding.

4. A supervisor is moving to another university. What is the responsibility of the graduate unit
towards his or her graduate students?
First, graduate students are registered in a graduate program, not with a particular supervisor.
Thus, the graduate unit has prime responsibility in ensuring they are not disadvantaged if their
supervisor becomes unavailable for any reason. When a faculty member moves to another
institution, some students may elect to move as well, and seek admission at the new institution.
Others, particularly in later stages of a doctoral program, may wish to remain. In this case, unless
the supervisor maintains a graduate faculty position at the University of Toronto, the graduate
unit must do what it can to assist the student to find a replacement supervisor. The student is of
course free to maintain an informal relationship with the departing supervisor, but all doctoralstream (research) students registered at the University of Toronto must have a supervisor of
record who is a member of the graduate faculty. This may require compromise on the part of both
student and new supervisor, and occasionally creative solutions; we recommend that students
and supervisors consult their graduate coordinator, and that the graduate coordinator consult
SGS in more complex situations.
The converse of this situation is when an established faculty member moves to U of T and
wishes to bring graduate students along. If such students are in the early stage of their program,
they should apply for admission to the relevant graduate program and become U of T students.
At later stages, other arrangements may be possible and preferable, such as becoming an
international visiting graduate student. This allows international graduate students to conduct
research at U of T for up to one year. International visiting graduate research students must pay
an administrative fee, health insurance, and incidental fees, but not tuition fees, and may not
enrol in courses.
If the student has not yet achieved candidacy, another option to consider is the Joint
Placement for Doctoral Students. This is intended for exceptional doctoral students to pursue
research opportunities and acquire research experience in two countries at an early stage in their
careers. A doctorate is earned at the lead institution, with involvement in the collaborator
institution being recognized by a notation on the transcript and diploma of the lead institution.

5. In my graduate unit, a faculty member has decided that his PhD student, who is in the fifth
year of his/her program, is not doing well and is unlikely to finish. The faculty member is
unwilling to continue supervising the student and wants him/her removed from the program.
What do I as graduate coordinator do?
There are a number of concerns here. First, individual faculty cannot remove students from
programs. Requests for termination of registration must come from the chair of the graduate unit
and must be approved by the SGS Vice-Dean, Students (see the SGS website for details).
Second, you need to determine whether the student has in fact failed to progress in a satisfactory
manner and should lose good academic standing before any such action is contemplated. This is

Graduate Supervision Guidelines, Second Edition

18

usually straightforward if specific program requirements have not been met, such as failed
courses or failed comprehensive exams. The achievement of candidacy is also an important
milestone in a doctoral program, and should be accompanied by a careful assessment to
determine if a student can successfully complete the requirements for a PhD in a reasonable
period of time. If the concern is in either the research or thesis writing phase, the key is to
ensure that properly constituted supervisory committee meetings have occurred, and reports, to
which the student must have had an opportunity to respond, have been filed. If the most recent
meeting did not indicate a serious problem, then a meeting should be held as soon as possible.
If it did indicate a problem, the student should have had a clear explanation of the problem in
the report, with sufficient detail to enable him or her to attempt to address the concerns. A
follow-up committee meeting needs to be held, preferably within two or three months. If the
student is absent from two consecutive meetings with reports of unsatisfactory progress, it is
unlikely that any request for termination of registration will be approved by the SGS Vice-Dean,
Students.
Also important is whether appropriate measures have been taken to help the student
overcome problems. The committee reports are an essential component in this, but not the only
one. It should be clear that the supervisor has made the student aware of any problems and has
given the student adequate opportunity to resolve them. Advice and help from committee
members is highly desirable too, particularly where the student and supervisor are at odds. And
the graduate unit may also have a role in helping resolve problems and ensuring the conditions
for satisfactory progress are not compromised in ways outside the students control.
If it turns out the problem is not entirely the students, the chair has a responsibility to try to
ensure continuity and quality of supervision, either by convincing the present supervisor to
persevere, or if all else fails by facilitating a change in supervisor.

6. I am very unhappy with the quality of the supervision I have been receiving. My supervisor
seems unwilling to return drafts of my thesis until several months later, and when he/she
does the comments often seem to be the opposite of suggestions made earlier. Now the
supervisor is insisting that more research needs to be done. It seems I will never be able to
finish. What can I do?
First, it would be wise to try and evaluate the situation objectively and dispassionately. The
later stages of a PhD program can be stressful and emotionally charged, and criticism and
seeming delay can too easily be misinterpreted as hostile and negative. Are you submitting drafts
in reasonable pieces, with prior warning, and at times when your supervisor is not overwhelmed
with other responsibilities? We recommend a two-week turnaround, but that is for chapter-sized
drafts when the supervisor is aware they are coming, has perhaps seen them before so the
revisions are not extensive, and is not desperately working to a deadline for a major grant
proposal. If the criticisms seem arbitrary and inconsistent, remember that minor changes to
prose can sometimes have major impacts, and may well reverse meaning and change the context
so that what may have been alright before is now questionable. And as drafts improve, less
important problems begin to be more noticeable. If you still think the criticism unreasonable, you
might show your draft to other students whose opinion you respect, or ask one of your committee
members their opinion.
Certainly the question of whether a students research results are sufficient for the thesis
requires a value judgment, and supervisors may sometimes err on the side of caution. Remember
Graduate Supervision Guidelines, Second Edition

19

that the quality of a thesis reflects on the supervisor as well. Check other recent theses in your
discipline (they should be readily available on the Universitys T-Space). Seek the advice of other
committee members. The point in a students program when the research is complete should
have been discussed and agreed to at a formal supervisory committee meeting; if this did not
occur, or if the issue arises and cannot be resolved when the thesis draft is being read, the
student should call a full meeting of the committee to seek their judgement. Occasionally, there
is disagreement and lack of resolution even within the committee; in this case, or if you have
reasonable grounds to believe committee members or your supervisor are acting not in your best
interest, you should discuss the matter with the graduate coordinator and/or chair. They could for
instance attend a committee meeting, change the committee composition, or add an extra
faculty member not previously involved in the case.

7. A PhD student under my supervision has shown some behaviour recently that worries me and
is not what I associate with a successful graduate student. What should I do? Can I talk
openly to the student about it?
Early action is almost always preferable to letting a potential problem fester. But some care
needs to be taken and, depending on the nature of the unusual behaviour, you might want to
consult your graduate coordinator or us at SGS first. When you do talk to the student (as you will
have to), remember you are in a position of power and your student may have various reasons for
being cautious or worried about talking to you. Be objective, not judgmental, and do not try to
diagnose the problem particularly if it seems at all complex. Restrict your approach to pointing
out that you have observed behaviour that concerns you, and describe that behaviour calmly and
impersonally. Ask if the student is aware of anything that is interfering with his/her ability to be a
student.
It is alright to discuss a problem if the student is willing. You can say, I do not know what
the problem is, but I have noticed that [describe the observed behaviour]. I dont need to know
the details; my job is to ensure that you are aware of any resources that might help you. If you
suspect a health or disability issue that the student has not disclosed, you can begin by initiating
dialogue. You can say, Ive noticed that you have difficulty with, or Have you struggled
with in any of your classes? Discuss how the students challenge or difficulty may impact
their program and mention resources available to the student such as Accessibility Services,
Health Services, Counselling and Psychological Services, or Health and Well-being (if
employment is involved). You can even refer the student to these Guidelines!

8. I am worried that I might have a disability-related issue, and I am reluctant to talk to my

supervisor in case it changes how they feel about me and think about my work. What do I do?
Contact Accessibility Services for a consultation (details are on their website). They will
maintain confidentiality. This will help determine whether there is an appropriate
accommodation that may help your situation. Some accommodations may need your
collaboration with people in the graduate unit, such as your supervisor or course instructors;
others may not. If accommodations are appropriate, an accessibility counsellor can help discuss
with the necessary people if you agree to this. But you remain in control. You decide what
accommodations to seek, if any, but in deciding, you should be aware of the consequences of
your decisions. Remember that accommodations are negotiated, so not all accommodations

Graduate Supervision Guidelines, Second Edition

20

requested by you or Accessibility Services may be approved. Your supervisor and graduate unit
must ensure that your request does not jeopardize the delivery and essential standards of the
program, nor your responsibilities as a graduate student in that program.

9. As graduate coordinator, I am dealing with a student who is registered with Accessibility

Services, but is not making satisfactory academic progress even though all recommended
accommodations are in place. I am at a loss as to what more I can do. What are my
responsibilities here?
In cases of formally recognized disability, the University is required to provide reasonable
accommodation. But remember that the purpose of these accommodations is to provide an
opportunity for the student to meet the academic requirements of the program at the necessary
standard. Accommodation does not mean the University has to lower its academic standards.
Accommodations must also be reasonable, that it causes no undue hardship in terms of
funding or supervision (no excessive costs). If you have questions concerning the interpretation
of these terms, please consult SGS or your Faculty.
If a student is unable to succeed despite the accommodations (and if the academic
requirements are genuine and integral to the disciplinary standards), other options should be
considered. For instance, a leave of absence may be helpful (graduate units can approve first
leaves of up to a year, though longer or additional leaves need SGS approval). In some cases, an
alternative program might be more suitable and could be discussed with the student. And where
success seems unlikely despite everyones efforts, you may need to discuss with the student the
option of withdrawing from the program. A student who withdraws can always reapply at a later
date to the same or different program, or to a different institution, if circumstances have
changed.

Graduate Supervision Guidelines, Second Edition

21

Appendix 1
Resources
Note that the URLs for resources may change, though the online version of these Guidelines
should be reasonably up-to-date. Please contact the Director of Student Services if you notice
broken hyperlinks.
People and Facilities
SGS Director of Student Services
SGS Vice-Dean, Students
Ombudsperson
Health Services
Accessibility Services
Counselling and Psychological Services
Anti-Racism and Cultural Diversity Office
Community Safety Office
Sexual and Gender Diversity Office
Sexual Harassment Office
Status of Women Office
Policies
SGS Calendar
Grading Practices Policy
Conflict of Interest
Code of Behaviour on Academic Matters
Policy on Ethical Conduct in Research
AODA (Accessibility for Ontarians with Disabilities Act)
Other
The SGS Intellectual Property Guidelines
Graduate Professional Skills (GPS) Program at U of T
Ombudspersons website: general resources containing tips on conflict resolution,
troubleshooting, and effective complaining
The Canadian Association for Graduate Studies produced in 2008 their Guiding
Principles for Graduate Supervision in Canada
UWOs Western Guide to Mentoring Graduate Students Across Cultures
The three federal granting agencies (CIHR, NSERC, and SSHRC) adopted in 2011 the
Tri-Agency Framework: Responsible Conduct of Research

Graduate Supervision Guidelines, Second Edition

22

Appendix 2
Checklist for Students
I chose my supervisor (or agreed to the choice) after appropriate review of supervisor
options
I have had sufficient initial meetings with my supervisor and have discussed:
Potential or actual thesis topic
Funding
Applying for scholarships and awards
Teaching assistantships
Availability of space
Expected hours of work
Timelines and major milestones including anticipated completion time
When and how a supervisory committee will be chosen
Nature of guidance
Frequency and style of meetings
Who arranges formal meetings
Methods of informal communication
Turnaround time for major questions, drafts of thesis chapters, publications, or
conference presentations
Intellectual property (IP) issues such as authorship on publications, conference
presentations
Other IP issues such as industry involvement, thesis publication embargoes,
patents
I understand and have discussed with my supervisor my program requirements including
(not all may be applicable):
Required courses
Extra courses
Language/breadth requirement
Comprehensive/field/qualifying exam
Seminar attendance
Ethics review
Thesis proposal
Other (specify)
______________________________________________________________________________
______________________________________________________________________________

Graduate Supervision Guidelines, Second Edition

23

Appendix 3
Checklist for Supervisors
To establish a collegial environment, I will:
Create a positive work and learning environment free from discrimination and
harassment (See Appendix 1 for University policies).
Provide advice on professional development and both academic and nonacademic career opportunities.
Be available to my student as the first point of contact for conflict resolution or
during moments of transition.
I will undertake the following academic mentoring activities:
Assist the student in navigating their program of study and the University
community.
Assist the student where needed about the requirements for their degree, policies
of the University (such as the Policy on Ethical Conduct in Research and Code of
Behaviour on Academic Matters) and School of Graduate Studies as well as
resources and referrals to campus services.
Advise and approve, if appropriate, all aspects of the students academic program
including courses, comprehensive/qualifying/field examinations, language,
seminar, internship/practicum, thesis proposal requirements, etc.
Help the student formulate an appropriate research project. Discuss the required
knowledge and skills to undertake the desired research program, the expected
time to completion as well as the level of independence that is expected.
Meet regularly to provide constructive input into the students research project
and provide an assessment of the students progress.
Discuss issues of authorship and intellectual property early in the students
program referring to the School of Graduate Studies Intellectual Property
Guidelines for Graduate Students and Supervisor at U of T and the SGS
Intellectual Property Awareness Form.
I have discussed funding issues with my graduate student including:
Level and duration of research-related funding that will be provided to the student
including support for conferences and travel for research. Assist with review of
grant applications, as appropriate.
Availability of research and study space as well as the protocol for requesting
additional resources or equipment.

Graduate Supervision Guidelines, Second Edition

24

I have discussed academic program issues with my graduate student including:

How and when the supervisory committee will be formed, the role of the
supervisory committee as well as my role as supervisor in selecting appropriate
and eligible members.
Ensure that the supervisory committee meets a minimum of once per year to
assess the progress of the graduate student.
Frequency, length, and format of individual and/or group meetings including the
preferred method of communication and timelines for feedback.
Roles and responsibilities of others involved in the students research program
(e.g., postdoctoral fellows, lab managers, fellow students, etc.) and lab
etiquette.
Expectations for student work hours and vacation.
Any extended absences (i.e., sabbatical, research leave, conference travel, etc.)
for myself or others critically involved in the students research and a plan for
continuity of supervision.
How an external appraiser will be selected for the students Final Oral
Examination.

Graduate Supervision Guidelines, Second Edition

25