A. Appointment of the Thesis Supervisor

1. Assignment. Each research postgraduate (RPg) and taught doctoral student will be assigned a thesis supervisor who will oversee the student’s research from the time the student embarks on his/her research.
2. Prime supervisor
   1. The prime thesis supervisor must be a full-time member of the HKUST academic faculty.
   2. Subject to the approval of the Department Head/Program Director and Dean of the student concerned, all Research Professors may serve as the prime supervisors. To ensure continuity of supervision, at least one co-supervisor, who should be a full-time regular academic faculty member of the University, must be appointed for joint supervision of the students. The Research Professor and the co-supervisor should agree on the postgraduate studentship arrangement for the RPg students. In the event that the employment contract of a Research Professor ends prior to the student’s graduation, the co-supervisor is responsible for providing the necessary guidance and support to the student, including postgraduate studentship, until a new prime supervisor is identified.
   3. Arising from the cross-campus appointments between HKUST and HKUST(GZ), a faculty member with zero percent joint appointment with the non-home campus is not allowed to serve as the prime supervisor of students at the non-home campus.
3. Co-supervisor
   1. For (i) an HKUST academic member carrying a title of, e.g., Visiting or Adjunct faculty, Research Associate Professor, Research Assistant Professor, or Visiting Scholar, (ii) a non-HKUST/ non-HKUST(GZ) academic, or (iii) a non-academic professional, he/she may help supervise the research work of a student, but only as a co-supervisor.
   2. Arising from the cross-campus appointments between HKUST and HKUST(GZ), a faculty member with zero percent joint appointment or affiliate appointment at the non-home campus can serve as the co-supervisor of students at the non-home campus.
   3. Appointment of a non-HKUST/ non-HKUST(GZ) academic as a co-supervisor requires approval from the Department Head/Program Director. Appointment of a non-academic professional as a co-supervisor requires approval from the HKUST Fok Ying Tung Graduate School (FYTGS).
4. Sabbatical leave/No-pay leave
   1. When a prime supervisor is on sabbatical leave or no-pay leave, he/she will be allowed to continue supervising his/her existing students, but a prime supervisor on no-pay leave will not be allowed to admit any new students.
   2. The prime supervisor should identify a co-supervisor to take care of the academic matters, physical and mental well-being, safety and any emergency issues of the students when he/she is on leave.
5. Vacancy. In the case of a thesis supervisor leaving the University, another member on the Thesis Supervision Committee should be appointed as a temporary thesis supervisor until a replacement thesis supervisor has been identified.
6. Change. If, after sincere effort, a good working relationship fails to develop and the student and/or the thesis supervisor believe that, for this reason, satisfactory study progress cannot be made, either party may approach the PG Coordinator/Program Director for advice. The PG Coordinator/Program Director should, in consultation with the Department Head/Associate Dean of the relevant School responsible for postgraduate studies, consider the matter carefully. If appropriate, the PG Coordinator/Program Director may recommend a change of the thesis supervisor.

B. Thesis Supervision Committee

1. Each student will be supervised by a Thesis Supervision Committee (TSC) which consists of at least two members: the thesis supervisor and the committee chair.
2. For MPhil students, the TSC is normally formed within their first year of study. The TSC for doctoral students is normally formed within their second year of study before they attempt their qualifying examination.
3. In most cases, the formation of a TSC is initiated by the thesis supervisor. The student may be consulted in the process. The authority to approve and appoint TSCs usually rests with the departmental PG studies committee.
4. For both MPhil and doctoral TSCs, at least one committee member must normally have had experience, at the University or elsewhere, as the designated supervisor of the thesis research work of at least two MPhil or doctoral students who have successfully completed their degrees.
5. For doctoral TSCs, at least one member of the committee must normally have had experience, at the University or elsewhere, in the supervision of at least one doctoral student who has successfully completed the degree.
6. Members on a TSC usually have research expertise relevant to the student’s area of research.
7. TSC members should meet regularly with the student under their supervision to ensure that the student’s academic and research progress is satisfactory. For RPg students, the student, the thesis supervisor and the TSC are required to complete an annual progress report which serves to document the study progress of the student.
8. When a thesis supervisor goes on sabbatical leave, he/she will usually continue to supervise his/her students through various means. In the case of a thesis supervisor leaving the University, another member on the TSC should be appointed as a temporary thesis supervisor until a replacement thesis supervisor has been identified.

C. Joint Supervision with Non-academic Institutions

The joint supervision of students by academic institutions and the corporate sector is a universal trend with multiple, wide-ranging benefits that HKUST seeks to foster. The principles, limitations and framework for joint supervision of students by the corporate sector and the University are provided in the “Guidelines on Joint Supervision of Research Postgraduate Students with Non-academic Institutions”.

D. Supervisor-Student Relationships

1. Responsibilities of Thesis Supervisors
   To ensure high quality in both the student’s research and his/her learning experience, thesis supervisors should provide advice, guidance and support at every stage. Specifically, thesis supervisors are expected to:
   1. Provide guidance about the nature of research, the standard expected, the planning of the research program, the review of literature, the selection of coursework, and appropriate training in research techniques;
   2. Establish, at the beginning of the student’s research, a framework for supervision, including arrangements for regular meetings. The stages of progress the student is expected to have completed at various points should also be agreed on;
   3. Meet with the student regularly following the agreed schedules and with a clear agenda, and be accessible to the student at other appropriate times when he/she may need advice;
   4. Ensure that the student’s research:
      1. Falls within his/her own area of expertise;
      2. Can be completed with the resources available;
      3. Can be completed within the prescribed period of study; and
      4. Is suitable for the degree program the student aims to undertake.
   5. If applicable, discuss any potential physical hazards involved in the research work and how these can best be dealt with, ensuring that safety procedures are followed;
   6. Provide advice on the publication of research work, ensuring that attribution is discussed before publication;
   7. Deal promptly with any research problems the student may encounter;
   8. Adhere to the schedule for submission of the annual progress report;
   9. Advise the student promptly of unsatisfactory progress with regard to any aspect of his/her study, and put this advice in writing if such unsatisfactory progress is considered likely to interfere with satisfactory completion of the research by the agreed deadline;
   10. Guide the student in the preparation of the thesis and the thesis examination;
   11. Identify prospective examiners for the student’s Thesis Examination Committee;
   12. Treat the student professionally, ensuring proper credit for his/her work;
   13. Be on the lookout for signs of behavioral changes, stress and depression, including absence from classes, laboratory sessions or appointments with no prior notification, reclusion, or erratic behavior in the student being supervised. The Department Head and PG Coordinator/Program Director should be notified if any of the above behavior has been observed or reported. If necessary, the student should be referred to the Counseling and Wellness Center of the Dean of Students' Office for professional advice; and
   14. Ensure that replacement supervision is available to the student during any significant period of absence.
        
2. ​​​​Responsibilities of Students
   Students are expected to:
   1. Discuss with the thesis supervisor and TSC the type and scope of guidance he/she needs, and agree on regular meeting times;
   2. Take the initiative in raising problems or difficulties with the thesis supervisor, however elementary they may seem, before they become serious;
   3. Attend supervisory meetings well prepared and with a clear agenda for the meeting;
   4. Be accessible to the thesis supervisor and/or TSC or during the course of study;
   5. Make satisfactory academic and research progress following the advice of the thesis supervisor and TSC;
   6. Discuss with and obtain the approval of the thesis supervisor regarding any changes in the direction of his/her research focus and its implications;
   7. Provide a brief self-evaluation summary report to be attached to the annual progress report for submission through the thesis supervisor as part of the annual review process;
   8. Ensure that the thesis is completed and submitted within the period stipulated by the University for assessment;
   9. Abide by the rules and regulations governing postgraduate studies of the University; and
   10. Ensure that all work done by others used in the thesis is properly acknowledged.
        
3. Relationship between Thesis Supervisors and Students
   1. Mutual respect and open communication are the foundation of a good relationship between the thesis supervisor and the student. Both parties must strive to express respect and communicate clearly and honestly with each other.
   2. To avoid unnecessary disruption, the student and the thesis supervisor should inform the other party as soon as they are aware of a possible change in their status, e.g. a student plans to withdraw from the program of study, or a thesis supervisor may take sabbatical leave.
   3. If, after sincere effort, a good working relationship has failed to develop and the student and/or the thesis supervisor believe that, for this reason, satisfactory study progress cannot be made, either party may approach the PG Coordinator/Program Director for advice. The PG Coordinator/Program Director should, in consultation with the Department Head/Associate Dean of the relevant School responsible for postgraduate studies, consider the matter carefully. If appropriate, the PG Coordinator/Program Director may recommend a change of the thesis supervisor.