Memorandum of understanding between supervisor and graduate student for 2017

This form consists of five sections, which must be completed prior to registration for the second, and each subsequent year of registration for a dissertation or thesis course.

Section 1 is a report by the supervisor (with optional comments by co-supervisors) on the candidate’s work to date. This section provides grounds for a recommendation by the supervisor that registration be renewed (or that this be refused on the grounds of inadequate progress

Section 2aims and objectives

Section 3details practical planning issuesin the year ahead such as budget, supervisor availability, expected outputs from the work, and any special arrangements

Section 4is a statementof acknowledgements and undertakings

Section 5consists of requiredsignatures and recommendations

Full name of student
Student number
Email
Telephone contact number
Degree name
Department
Type of supervision (please indicate with a “x”)
Single Supervisor / Supervisory
committee / Single Supervisor and single Co-Supervisor
Name of main supervisor
Name of co-supervisor/s or supervisory committee members
(if applicable)
Name of external co-supervisor/s
(if applicable-please indicate the institution or company)
Thesis / dissertation title
Year – indicate the following
Year of first registration
Year of planned completion
Degree - tick whichever is applicable
Doctorate / Doctorate (with coursework)
Masters (by research) / Masters (with coursework)
Other (please specify):

SECTION 1:ANNUAL PROGRESS REVIEW

Report and recommendation by supervisor and response by the candidate

This schedule is to document the supervisor’s assessment of the work completed in the previous calendar year, in order to record this for both candidate and supervisor; point the candidate to work that needs attention, to new avenues, or new directions (especially if up- or down-grading of registration is suggested);and be the basis for the supervisor’s recommendation via the HoD as to whether the candidate has met the required standard of achievement/progress to be allowed to renew his/her registration in the following year.The candidate may respond (if he or she accepts the assessment and wishes to continue the conversation); or challenge the assessment of the supervisor, or the HoD’s recommendation, and may ask the Dean to appoint an independent reviewer to consider this.

1.1Report by the supervisor

(This report must be based on the agreed expectations set out in the MoU and/or the plan for the year under review agreed a year before. It will generally require a self-assessment by the candidate to which the supervisor will respond. If a self-assessment has been given, this must be attached.)

1.2Response by candidate

SECTION 2: AIMS AND OBJECTIVES

To be completed by candidate and response by supervisor/s

2.1Key activities and research goals for this year

2.2Expected Outputs

Thesis / Dissertation output (chapters, parts, papers) to be prepared and, expected dates of submission to the supervisor.

Detail any publications or presentations you intend to prepare, submit or present this year (if applicable).

*Note: Doctoral candidates that wish to submit published work as part of their thesis, should read the “Guidelines for the inclusion of publications in a doctoral thesis”

Detail any empirical work, analysis, fieldwork, or other specific activities you intend to complete this year (if applicable)

List any formal seminars or presentations within the University (e.g. departmental seminars, talks to research groupings, research proposals) you undertake to attend this year (if applicable)

2.3Expected inputs

List any seminars, courses or training that you expect to attend to improve your knowledge and skills this year (if applicable)

2.4Comments by supervisor/s

SECTION 3:PLANNING FOR THE YEAR AHEAD

To be completed by candidate and supervisor together

3.1 Expected funding for the year ahead (optional)

Please specify all funds that you expect to receive from the supervisor or other external sources to support activities during the year ahead. Indicate who is responsible for sourcing these funds, and the envisaged use thereof

3.2 Employment and other responsibilities in the year ahead (if applicable)

Employment, teaching or other responsibilities (if appropriate state percentage time or hours to be spent in UCT employ and non-UCT employ in order to secure base level funding)

3.3Communication arrangements for the year ahead

The supervisor and student are expected to maintain regular contact. The supervisor must outline the envisaged frequency and nature of meetings, and explain what will be expected of candidate and supervisor at meetings.it is recommended that students and supervisors keep record of meetings):

Frequency and duration of meetings
Nature of meetings (e.g., feedback)
Form of meetings(e.g., Skype, in person)
Return of work (e.g., 2 weeks per chapter)

3.3 Training strategy for the year ahead (if applicable)

List any taught classes, activities, workshops or skills development opportunities
(e.g. language proficiency, discipline-specific skills, PC-based courses etc.) that the student should/could/must attend. If funds are needed to cover costs, please specify.

3.4Other duties not specified above (optional)

List any other duties agreed upon but not included in any categories above, giving number of hours involved.

3.5Career expectations or prospects of the student (optional)

Outline any steps to be taken by all parties towards satisfying the student’s career goals.

SECTION 4: STATEMENT OF ACKNOWLEDGEMENTS AND UNDERTAKINGS

As a student signing this document I confirm that I have/will read the following:

4.1 UCT Intellectual Property (IP) Policy

4.2 UCT Ethics in research policy and Faculty of Commerce Ethics in Research policy, including the provisions

regarding research on human subjects

4.3 UCT Open Access Policy

4.5 UCT General Rules and Policies Handbook (Handbook 3) regarding Student Rules of Academic Conduct: RCS1.1 to RCS3.2; Rules Relating to examinations G20.1 to G22.2 and the document “Avoiding Plagiarism: A Guide for students”.

Note: The word limit for PhD thesis is 80,000 words (University Rule FDA6), for a Research Masters - 50,000 words and for a Coursework Masters – 25,000 (Faculty Rule FM6.4).

Note: Candidates need permission from the Commerce Higher Degrees Committee to exceed the word count for Master’s Dissertations and the Doctoral Degrees Board for PhD thesis before submission for examination.

I also acknowledge that I am responsible for ensuring that I comply with the university policies and procedures.

Please read and complete the following regarding Intellectual Property

  1. As the student, by signing this document, I confirm that I have read the UCT IP Policy (
  2. Who funds the research (exclude bursaries)?
  3. In terms of the funding arrangement, has the IP been assigned to the funder (i.e. either because the full cost model has been applied to the project, or in terms of a research contract)? YES / NO (delete the non applicable)
  4. In terms of the IP Rights from Publicly Financed Research and Development Act, the Student and Supervisor acknowledge that in all cases where the answer to 3 is “No” there is an obligation to disclose an invention to Research Contracts and IP Services with 90 days of the discovery, using an Invention Disclosure Form (download from There is an obligation to maintain the invention confidential within UCT until the IP has been evaluated by RCIPS to determine its ability to be protected. RCIPS should be contacted well in advance of any planned public disclosure, such as presentation at an external meeting or conference, publication in a journal, submission of an abstract, publication on a website or blog and the submission of a thesis for examination.
  5. In terms of the UCT IP Policy, the university owns the IP arising from postgraduate research (unless ownership has been assigned to a third party), this includes inventions, discoveries and other developments of a technical nature whether or not these may be the subject of legal protection, as well as tangible research property arising from research activities such as prototypes, drawings, designs and diagrams, biological organisms and material, reagents, integrated circuit chips, software and data.
  6. Copyright in a dissertation of thesis vests in the student who has written the dissertation or thesis, subject to the rights of the University provided in rules for degrees, diplomas and certificates. In terms of Rule GP8, when presenting a thesis for examination, a candidate shall be deemed by so doing to grant free license to the University to publish it in whole or in part in any format that the University deems fit. The student takes note of this requirement should they enter into an agreement with a publisher to publish their thesis.
  7. The University assigns the copyright of all scholarly and literary publications to the authors of such works refer to policies in handbooks for authorship issues.
  8. Graduate students often use data that belongs to the University, or a research group, or an external party. Any issues relating to data ownership should be noted here:

SECTION 5: SIGNATURES AND RECOMMENDATIONS

MAIN SUPERVISOR / CHAIR OF SUPERVISORY COMMITTEE / Name: / Signature: / Date:
Recommendation by main supervisor or chair of supervisory committee (delete whichever does not apply)
(a)the candidate’s registration be renewed for the coming year; or
(b)further registration be refused (add or attach written reasons).
Comment by supervisor/s
HEAD OF DEPARTMENT / Name: / Signature: / Date:
I support/do not support the recommendation of the supervisor(delete whichever does not apply), for the following/attached reasons:
Comments
Comments by co-supervisors (if applicable)
STUDENT / Name: / Signature: / Date:
Recommendation by main supervisor (delete whichever does not apply)
(a)the candidate’s registration be renewed for the coming year; or
(b)further registration be refused (add or attach written reasons).
The candidate must sign to show that he has seen these responses. The candidate's signature does not necessarily indicate acceptance of the responses. (The candidate has the right to respond to any comments made by the supervisor or HOD, but must do so here in writing.)

Note: All returning PhD’s MOU’s must be approved by the Dean/Nominee

COMMENT BY DEAN / DEPUTY DEAN

I approve / refuse renewal of registration for the year ahead (delete which is not applicable).
I recommend that the MoU be returned for further discussion between the supervisor/s and student
For the following reason:
Name
Signature / Date:

For office use:

Received by Faculty Office / Name: / Date:
Captured on PeopleSoft / Name: / Date:

NOTE: Three copies of the MOU should be signed and retained: a copy for the candidate, supervisor and the HOD / Faculty Office.

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