1. Erasmus+ C3QA Conference in Astana
Doctoral student supervision, progress monitoring, and procedures and criteria for QA of Doctoral dissertation and its final assessment
Otgontenger University & National University of Mongolia
BUYANJARGAL.A (OTU) AMARTAIVAN.TS (NUM)
ODGEREL.B (OTU) AMARZAYA.A (NUM)
16-17 October 2018
Erasmus+ C3QA Conference in Astana

2. Salzburg principles: Principle five.
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).
16-17 October 2018
Erasmus+ C3QA Conference in Astana

3. The common requirements for conducting graduate studies
Selection of the dissertation theme and choosing the supervisor are respected.
On the basis of characteristics of the dissertation theme, two supervisors can be appointed.
3.4.3 It should specify responsibilities of the supervisor.
16-17 October 2018
Erasmus+ C3QA Conference in Astana

4. 3.4.3. The supervisor should have following responsibilities.
To advise graduate students to determine the research theme;
To advise the graduate student to develop the working plan for his/her research
To provide with professional advice and keep monitoring according to specific schedule during writing the dissertation or making a research
To make assessment wholly or partially on content of the research work
To give permission to students to propose his/her dissertation for defense, on the basis of permission of the program committee
To organize scientific seminar and to put the student’s research work in discussion
Can give a change to the successful student to be an assistant for academic or research activity within the given graduate studies
The supervisor’s responsibilities should be detailed in the given university’s regulation
16-17 October 2018
Erasmus+ C3QA Conference in Astana

5. Erasmus+ C3QA Conference in Astana
The National University of Mongolia described the supervisor’s responsibilities as below:
4.4. Academic teaching & learning for Master & PhD studies
The supervisor must have PhD degree.
The supervisor is obliged to orient and direct the research work’s theme and plan of the graduate student and supervise and monitor them to make experiment, develop the experimental results, write articles and give papers. The supervisor has responsibilities to advise the dissertation and assess the dissertation content, quality and research work’s outcomes/results in view of scientific and legal accuracies.
The graduate students have to develop the research plan in accordance with his/her selected theme, in negotiated with the supervisor.
If the graduate student applies for changing his or her supervisor, it will be solved by the Order of the respective school’s director on the basis of proposals of the relevant professional faculty, program and supervisor.
16-17 October 2018
Erasmus+ C3QA Conference in Astana

6. Erasmus+ C3QA Conference in Astana
The Otgontenger University described the supervisor’s responsibilities as below1:
The supervisor must have PhD degree in order to teach or supervise for graduate studies.
All faculty members involved in graduate studies must conduct research works. Accordingly, the Academic Affairs Department has to create the possibility and environment for conducting the research work.
The professorship team or the professional faculty is responsible for the given graduate studies.
3.1.5 The supervisor must meet the requirements (2.8.2 & of the Provision 2) specified in “The Common Regulation for Conducting the Graduate Studies” – approved by A/370 Order of the Minister of Education & Science on 12th September, 2014.
16-17 October 2018
Erasmus+ C3QA Conference in Astana

7. Erasmus+ C3QA Conference in Astana
The Otgontenger University described the supervisor’s responsibilities as below 2:
The branch school or faculty is obliged to develop the proposal to appoint the academic supervisor for each of graduate students within the given admitted semester and to have this proposal approved by the Rector’s Order.
The individual, who is an advisor professor for the Otgontenger University or conducts academic research at another universities, with PhD degree can teach and be a supervisor for graduate students.
The supervisor has following responsibilities.
To assist to develop survey questionnaires for Master or PhD degree dissertation.
To provide the graduate students with professional or methodological advice and orientation for developing his or her individual academic plan.
To monitor the fulfillment of the expected research work and orient the graduate students to make experiment, process the experimental results, write articles and give papers.
To provide with professional advice and keep monitoring according to specific schedule during writing the dissertation or making a research as well as assess wholly or partially
To give permission to students to propose his/her dissertation for defense
16-17 October 2018
Erasmus+ C3QA Conference in Astana

8. Erasmus+ C3QA Conference in Astana
The Otgontenger University described the supervisor’s responsibilities as below 3:
To organize scientific or research seminar and allow the graduate students to give papers or give the experimental results for discussion
To participate in the discussion that is organized by the Graduate Defense Committee once or twice and get acquainted with the decision or conclusion made by the committee
to advise the dissertation and assess the dissertation content, quality and research work’s outcomes/results in view of scientific and legal accuracies.
If the graduate studies is covering 2 – 3 scientific sectors, the university can appoint 2 supervisors.
The University can invite the individual, who defended PhD degree in the given discipline, with high competencies and in this case, it should conclude an official agreement with him or her.
The branch school or faculty should specify a number of supervisors, depending on the characteristics and uniqueness of the research.
16-17 October 2018
Erasmus+ C3QA Conference in Astana

9. Erasmus+ C3QA Conference in Astana
The National University of Mongolia is evaluating the supervisor’s performance in following ways:
Surveys that is taken from PhD students
Recruitment Regulation for Faculty Members or other rules with specific requirements
Defense process
Discussion and faculty or extended seminar
16-17 October 2018
Erasmus+ C3QA Conference in Astana

10. Erasmus+ C3QA Conference in Astana
The Otgontenger University is evaluating the supervisor’s performance in following ways:
Students survey
Results of customer’s satisfaction surveys
Evaluation for PhD students from the faculty or extended seminars
Evaluation for PhD students from the National Defense Committee
16-17 October 2018
Erasmus+ C3QA Conference in Astana

11. Erasmus+ C3QA Conference in Astana
Demanded work and service
Outcomes
EXPLANATION
The main process is categorized into following parts:
SUPERVISION S
ACADEMIC PROCESS P
RESEARCH OR SCIENTIFIC PROCESS R
SUPPORTIVE PROCESS S
Facts - Procedures and documents for the implementation of the process
R - Responsible owner
A - Decision maker
C - Consultation
I - Inform
Process intrance
Process step
Process monitoring
Process output
Demanded work and service
Outcomes
16-17 October 2018
Erasmus+ C3QA Conference in Astana

12. Figure 1. Customer’s satisfaction
16-17 October 2018
Erasmus+ C3QA Conference in Astana

13. Figure 1. Customer’s satisfaction
 The process is made on the purpose to conduct the academic activitiies that should meet the satisfaction of customers.
Process definition
It is crucial to determine the demands of customers since the customer’s satisfaction is expressed by how it meets their demands.
It develops a questionnaire with brief and clear components and questions.
It takes a survey from customers according the questionnaire.
On the basis of survey result, it describes demands of customers.
It introduces the survey results to the administration meeting (meeting of Rector’s Council) and informs to the public.
It develops a follow-up plan to improve the satisfaction due to the survey results.
It takes proposals in order to upgrade the plan.
It checks and evaluates the developed draft of the plan.
The plan is finalized and approved by the Rector.
Faculty members conduct their activities according to the plan.
The Internal Monitoring Department is responsible for its implementation and reporting.
16-17 October 2018
Erasmus+ C3QA Conference in Astana

14. Figure 2. Completion of Human Resource
16-17 October 2018
Erasmus+ C3QA Conference in Astana

15. Figure 2. Completion of human resource
Process definition
1.Branch school: makes a request to the Academic Affairs Department (AAD) depending its needs of faculty members.
2.Director of branch school: assesses the request to recruit new faculty members and informs to the Academic Affairs Department.
3.AAD: monitors the workload and faculty members as well as the request and sets up the basis to recruit new faculty members.
It specifies a number of needed faculty members according to each of disciplines and submits it to the Rector. If the rector considers it unnecessary, the process is ended.
5.Directors of branch schools: have rights and responsibilities to recruit new faculty members, conclude or terminate an agreement of
employment in accordance with the internal regulation of employment..
6.Marketing Department: places and promotes the vacancy announcement via media and press in accordance with the request made by the Academic Affairs Department.
-It details requirements and checklist of requirement materials for candidates in the vacancy announcement.
7.Human Resource Manager: receives materials and documents from the candidates and submits to the Academic Affairs Department.
Directors of branch schools: makes first interviews with candidates and takes professional English language exams ( in accordance with the pre-defined regulation and procedure).
- It informs the exam results to the Rector.
9. If there is no potential candidates, it turns back to the step 6. If there is potential candidate, it moves to the step 10.
10. Rector’s Council: makes the interview with potential candidates and makes a decision to conclude an agreement.
11. If the candidate fails for the interview, it turns back to the step 6. If the candidate passes interview, it moves to the step 12.
12. Rector & Academic Affairs Department:
-Members of the Rector Council makes a decision on whether to make agreement with the candidate, on the basis of interview quality.
- It concludes an agreement of employment with the candidate on the basis of proposal by the Rector’s Council.
13. The agreement is made in two copies and each of the copies are kept by the new faculty member and Archive Section.
16-17 October 2018
Erasmus+ C3QA Conference in Astana

16. Process of dissertation’s supervision
The university’s human resource policy
To select the supervisor and theme of doctoral studies
Approval (according to monitoring, common requirement, respective rules and regulation)
Plan (individual plan of graduate student)
Credits for research work, scholar works
Discussion
Pre-defense/Defense
Satisfaction survey of students
Assessment for supervisor /annual/
Mid-term assessment /annual/
16-17 October 2018
Erasmus+ C3QA Conference in Astana

17. Erasmus+ C3QA Conference in Astana
Similar problems faced to the National University of Mongolia & Otgontenger Unversity
It is impossible to monitor the supervisor’s performance & dissertation progress
There is no limitation on how many students the qualified faculty member can be a supervisor for.
16-17 October 2018
Erasmus+ C3QA Conference in Astana

18. Erasmus+ C3QA Conference in Astana
NUM and Otgontenger University is working on implementing continuous assessment of supervision and dissertation process
It is required to assess the supervisor’s performance and ensure transparency (on the basis of reports of dean, self report of supervisor and student’s assessment for supervisor)
Thus, we are considering that it should assess the research work /dissertation progress/ and supervisor’s performance by sending the reports to the respective departments.
16-17 October 2018
Erasmus+ C3QA Conference in Astana

19. Self report of the supervisor
Independent Report to be completed by Supervisors
Name of Supervisor (specifying whether principal or co-supervisor if applicable):
Name of Student:
Date form completed:
Have you read the student’s progress report for the past year? YES / NO
 2. Has the student’s progress over the past year been:
Good
Satisfactory
Not satisfactory.
If not satisfactory, briefly outline the ways in which progress has not been satisfactory and describe what remedial actions have been, or are being, taken.
 3. What written work of the student’s have you read over the past year, and is the work of an acceptable standard?
 4. Have you attended any oral presentations given by the student over the past year and, if so, have these been of an acceptable standard?
 5. Please provide a brief comment on the student’s plans for progress over the coming year (as outlined in his or her report)? 
Is his / her proposed submission date realistic? YES / NO
If not, what would be a realistic date?
16-17 October 2018
Erasmus+ C3QA Conference in Astana

20. General report of PhD research work’s progress
Name of Student:
Date report completed:
Program name:
Date of Registration:
Name of supervisor/s (Please indicate whether principal or co-supervisor if applicable):
Research Topic / Title
Please provide
a brief summary report (500 to 1000 words) on how your research project has progressed over the past year (including a reflection on how your progress relates to agreed plans and timelines)
confirmation that you have produced and submitted alternative written work that demonstrates your progress, in a format specified by your School / Department Head
What written work has been produced over the past year (including details of any draft thesis chapters, conference presentations, publications, other outputs)?
What oral presentations have been given over the past year?
Have any unanticipated difficulties impeded progress on your research over the past year? YES ? NO 
If so, outline briefly here?
5. In line with this, have you undertaken appropriate subject-specific and generic skills training in the past year to meet your needs? YES / NO
If not, please provide further comment   
Please provide a brief outline ( words) of your project plans for the coming year, including details of written work to be produced and timelines (unless this has already been included under item 1b in an alternate ‘report’ for your School / Department).  
What is your intended submission date? (Please be realistic)
Do you have any specific needs / requirements in relation to achieving the goals for your project in the coming year? YES / NO 
If so, outline briefly here.
Have you completed the Evaluation of Supervisory s form? YES / NO
16-17 October 2018
Erasmus+ C3QA Conference in Astana

21. Assessment form for the supervisor
PhD student’s name:
Student Code:
Faculty:
Approved dissertation theme:
Supervisor’s name (please, write if there is co- supervisor)
Learning mode:
Date of admission:
Please, remark frequency of your consultative meetings with your supervisor
Once a week
Twice a week
Once a month
Less than once a month
No meeting or consultancy
16-17 October 2018
Erasmus+ C3QA Conference in Astana

22. Erasmus+ C3QA Conference in Astana
Assessment form for the supervisor
V. Please, mention average time of your supervisor’s consultancy via and phone.
Once a week
Twice a week
Once a month
Less than once a month
No meeting or consultancy
Please, express how you evaluate the supervisor’s consultancy or supervision?
Excellent
Satisfactory
Not good If so, please, explain why
Please, inform if you feel dis-satisfactory for the academic activities.
16-17 October 2018
Erasmus+ C3QA Conference in Astana

23. Responsibilities & obligation
Agreement of employment or specific short-term agreement with the faculty member (Internal Monitoring Department is responsible for assessing the agreement and making proposal to terminate the agreement)
Rewarding system
It needs to make assessment periodically and specify the assessment in the respective policy document
To compute additional credits for the supervisor’s time to work with the PhD students
16-17 October 2018
Erasmus+ C3QA Conference in Astana

24. Ratio of students to the supervisor
No mentioned in “The Common Regulation for Conducting the Graduate Studies”
In regulation of academic activities
The qualified faculty member can be a supervisor for not more than 3 PhD students for an academic year.
There is no specific requirement.
16-17 October 2018
Erasmus+ C3QA Conference in Astana

25. Changes in the respective regulation: Assessment for the supervisor
In current regulation
In previous regulation
2.5 credit hours for each of supervisions for PhD studies
5 credit hours for each of supervisions for PhD studies
16-17 October 2018
Erasmus+ C3QA Conference in Astana

26. Encouraging the supervisor’s activities
In previous regulation
In new regulation
If the faculty member, who is serving as a supervisor for PhD studies, gets 90+ assessment via the student’s assessment, the increase of salary will be issued on the decision of the Rector’s Council.
It needs to be specified in the respective regulation…
Not mentioned
16-17 October 2018
Erasmus+ C3QA Conference in Astana

27. THANK YOU FOR YOUR ATTENTION
16-17 October 2018
Erasmus+ C3QA Conference in Astana