Postgraduate ResearchTutors Forum 2011

Part 1

Introduction to the Role and Responsibilities of Postgraduate TutorDr Peter Gardner

Jackie Findlay

Tutors

Dr Peter Gardner

• Chair of Graduate Board’s Programmes of Study and Audit Group

Jackie Findlay

• Senior Assistant Registrar, Research Student Administration

Aim

To introduce new postgraduate research tutors to the responsibilities of their new position as defined in the University Code of Practice for Research Degree Candidatures

(available at: http://www.leeds.ac.uk/rsa/policies.html)

The code is based on the QAA Code of Practice for assurance of academic quality and standards in higher education: Section 1 Postgraduate Research Programmes – September 2004

Based around 27 precepts [www.qaa.ac.uk]

Overview

Administrative Framework

Postgraduate Research Tutor - Role and Responsibilities

Phases of a candidature

Submission and Qualification Rates

Funding

Handover

Summary

Administrative Framework

Senate

Graduate BoardResearch Student Administration

Programmes of Study and Audit GroupExaminations Group

Higher Doctorates

Postgraduate Scholarships

Researcher Training and Career Development Steering Group

Steering Committee on Doctoral Training Grants

SchoolPostgraduate Research Tutor

Student file/PDRS

SupervisorStudent file/PDRS

Student

9 x Faculty Graduate School Committees (Director)

Graduate Board

Responsible for research students

• Representatives from each Faculty

• Student representation (PGR representative and Education Secretary of University Union)

• Groups to address various matters.

Board Works Through:

• Faculty Graduate School Committees

• Postgraduate Research Tutors

• Research Student Administration

Graduate Board Terms of Reference (Summary)

• Recommendations to Senate

• Formulation and implementation of policies and procedures

• Maintenance of quality and standards

• Communication with Learning and Teaching Board and other University committees

• Identification, promotion and facilitation of skills development

• Delegation of authority to its Groups (e.g. Examinations Group ratifies examination results and awards degrees)

Graduate Board Terms of Reference (Summary) continued

• Approval of new programmes of study and amendments to regulations

• Liaison with LUU and other relevant student bodies

• Oversight of Scholarships for postgraduate students

Graduate Board definition of role of the Postgraduate Tutor

The Postgraduate Tutor has general responsibility for

• Co-ordinating admissions

• Pastoral care

• Recording progress of research students

• (including monitoring of attendance with absence being recorded)

• For liaison with Research Student Administration

Qualities Required for PGRT’s

Diplomat / Negotiator

Approachable

Realist / Decision Maker

Guardians of quality for the University

Administrator / Manager

PGRT Role and Responsibilities

To the School / Faculty / University

• Ensure Code of Practice* is in place and acted upon to ensure:

recruitment of the highest quality PGR students

monitoring of candidatures and supervisory arrangements

To the students

• Look after the best interests of student

this may mean taking difficult decisions as well as pastoral care

*CoP defines responsibilities of Deans, Faculty Graduate School Committees, Postgraduate Research Tutors, Supervisors, Students

University-facing Responsibilities

To the Graduate Board and its groups

• Ensure that University policy is observed

• Respond to any issues raised

• Participate in dialogue and discussions

Research Student Administration

• Liaison with various sections and keep up to date with memos

Postgraduate Scholarships

• Role in selection procedures for School nominations for University and external competitions

Appeal Groups

• May have to appear before University panels

Faculty-facingResponsibilities

To Faculty Graduate School Committees

• Usually a member (but always should have access to discussions on policy and procedures)

• Responsible to the Director of the Faculty Graduate School

• Support requests for suspensions/extensions, special cases etc.

School-facing Responsibilities

Support Staff

• Ensure that the appropriate systems are in place to deliver effective administration and monitoring

Link with Head of School

• in ensuring maintenance of quality in admissions

• in dealing with difficult / serious issues involving students and also staff

• as a source of human resources information.

• Build a relationship – report regularly.

Student-facing Responsibilities

• Support for students throughout the lifecycle of their candidature

• Difficulties with supervisors (in observing University / School procedures, inadequate supervision, supervisory arrangements)

• Difficulties with students (ensure that action is taken, where appropriate, and formal warnings issued if progress is unsatisfactory, complaints by students are handled speedily and fairly, etc)

• Able to provide advice on ethical review and other procedures such as transfer, progress, thesis submission and examination

Admissions – A crucial stage

• Is the applicant of the appropriate quality?

• Do the appropriate facilities and expertise exist for the research project? (NB. Code of Practice states the minimum requirements for facilities)

• Has the application been considered / discussed by at least two people?

• Where practical an interview should be held (telephone, Skype for international)

• Be aware of the different categories of research degrees and special nature of the Masters by Research

• Ensure supervisors are eligible for the role - see RSA website

• Ensure English language requirements are met - see RSA website

Recent change to University’s minimum English language requirements as a result of UKBA revised arrangements for Tier 4 visas.

Minimum English Language Requirements

For entry to research degree study (need to conform to UKBA requirements)

IELTS - Overall score must be 6.0 (University requirement)

• But UKBA say not less than 5.5 in each component (listening, reading and speaking and writing)

Internet Based TOEFL (iBT)

• 87 (Overall)

• 21 (Listening and Writing)

• 22 (Reading)

• 23 (Speaking)

Supervisors

• Staff must attend an SDDU course on Research Degree Supervision before being recommended for appointment as a supervisor

Includes experienced staff who are new to Leeds

Full day course for those new to the role

Briefing course for experienced supervisors

• Supervision by a main supervisor and at least one other co-supervisor; or one main supervisor together with a Mentor/Adviser

When a student starts

Registration

• Ensure that the appropriate administrative arrangements are in place for students to complete online registration (NB. 1st year International students must provide sponsor letter to Accounts Receivable)

Personal Development Record (now online for 2011-12)

• Responsibility for ensuring that this is created and maintained for each student: 

training needs analysis (within one month of commencement and to be reviewed at least annually)

record of training and development undertaken

records of official supervisory meetings. 

Monitoring

Monitoring Attendance (UKBA requirements)

• Ensure appropriate arrangements are in place for monitoring attendance with absence being reported

Supervision Meetings (online PDRS)

• Ensure notes are kept and they are “fit for purpose”

• Reservations about progress must be recorded so that students are aware

• PGRT to take action where appropriate

Annual Meeting

• Student to have the opportunity to meet with the Postgraduate Research Tutor in the absence of supervisors

Engaging research students with research ethics and impact

• Research Student Handbook describes student responsibility for ethical review and approval

• The code of practice for research degree candidatures covers student and supervisor responsibilities for ethics

• 2011/12 learning outcomes make reference to research ethics

• Research ethics and societal impact are covered in training

• Schools should encourage students to undertake ethics training where salient ethical issues are known to potentially exist

• Schools are strongly encouraged to run a dedicated training event on the impact and ethical implications of research

• Ethics checks are in place on forms at transfer and exam entry

• Some schools require ethics and wider societal impact to be covered at the transfer and final examination

Monitoring (cont.)

• Students to consult their supervisor before undertaking any additional work at the University

• 10 supervision meetings a year for those who first registered in or after September 2005.

• It is advised that overtime students continue to receive the same number of supervision meetings (these could be via email, skype etc.)

• Supervisors responsible for ensuring that there are written records of formal supervisory meetings

Transfer 1

Transfer from provisional category to full degree (PhD)

• Ensure that all time scales and procedures are in place and a transfer report is produced

Guidelines sent to students

Again PDRS will support this

• Transfer Panel – constitution and procedures (see RSA website)

At least 2 people from same or cognate subject area or discipline

One of these must be independent of the research

Transfer 2

• Possible decisions

Pass – may require some additional work (clear deadline)

Defer - to 18 months after the date of commencement of study

MPhil

Withdraw

• Time should be allowed for full-time students to make corrections or do additional work and have transfer confirmed within 12 months

• Transfer Recommendation Form to be completed

Covers ethical review and safeguarding data

Extensions and suspensions

• Explained fully on page 33 – 34 of the ‘Guide for Research Degree Supervisors 2010-11’

• Requests for indefinite suspensions

Unlikely to be granted. 12 months might be approved and might be extended after a review at the end of 12 months

• Requests will not succeed when the full-time period of study has been completed, the student is in the overtime period and is now in full-time employment and makes the request on the basis of “pressure of work”

• Must be clear relation between the amount of extra time being requested and the problem encountered

• Legitimate reasons include ill health (of candidate or close relative), maternity, accidents, unexpected events (e.g. equipment not being delivered)

Year 4 of a Full-Time PhD

Usually ‘Overtime Period’ (but now some 4-year full-time programmes)

No HEFCE funding for the University if a 3-year programme

No funding for schools

BUT…candidate still entitled to supervision

Examinations 1

• Supervisors to read and comment on the whole of the draft thesis prior to submission provided it is made available by the student in reasonable time

• “Mock viva” to be provided when requested by the student

• At least one internal and one external examiner

• Criteria for appointment of Internal and External Examiners – see RSA website

Examinations 2

Recommendation of Examiners on behalf of School• Ensure that the proposed examiners meet University criteria

• Avoid excessive use of external examiners (particularly by the same research group/supervisor)

• Staff must attend an SDDU training course on the Role of the Internal Examiner before being recommended for appointment as an internal examiner

• Includes experienced staff who are new to Leeds

• Staff should also have passed probation

• Refresher training is compulsory if a member of staff has not

• either acted as Internal Examiner

• or attended the SDDU training course on the role

within the last 60 months

• Face to face course for those new to the role

• Online briefing available for experienced internal examiners

Examinations 3

• Examiners required to complete independent reports prior to the oral

• Supervisors may be an observer at the examination but if not present must be available for consultation

Examiners Reports

• Does the report adequately explain whether the criteria have been met? If not, clarify with Examiners

• Is there a pattern to referral/failures?

• Particular supervisors / research groups?

• Any issues for Head of School/Director of Graduate School?

• All enquiries from the Examinations Group will be sent to PGRTs for resolution

Submission and Qualification

• It is in the interests of all concerned for a research student to complete their research degree

• The University and external bodies, such as HESA collect data on “submissions” and “qualifications”

• HEFCE use to influence funding decisions; low rates investigated

• All students leaving before or at the 12 month point do not count in “submission” rate or “qualification” rate statistics

• Those permitted to proceed into the second year do count

• Both the AHRC and ESRC impose sanctions on those with poor “submission” rates

Submission RatesStarters in 11/05-10/06

Faculty Withdrew in Year 1

Started in Year

2

Submitted within 4 years(%)

Suspensions of study

(%)

Granted Extensions

(%)

Non Submit as FT PHD

(%)

Arts 7 41 53.7 12.2 26.8 7.3

PVAC 3 22 45.5 22.7 18.2 13.6

ESSL 1 43 48.8 23.3 16.3 11.6

Bio Sci 4 67 80.6 3.0 10.4 6.0

Env 2 57 43.9 17.5 26.3 12.3

MAPS 12 70 75.7 7.1 7.1 10.0

Eng 12 111 52.3 12.6 26.1 9.0

M&H 9 32 62.5 15.6 12.5 9.4

LUBS 1 13 84.6 15.4 0.0 0.0

Total 45 456 60.1 12.7 18.0 9.2

Full-time students

HEFCE Qualification Rates

(Data for full-time home and EU doctoral students)

Qualification Rates

• HEFCE will monitor “qualification rates” in HESA returns

• The time that students take to obtain their qualifications

• If concern, QAA to investigate

• Account taken of discipline, mode of study, local conditions

• Funding implications

Funding for UK/EU Students

Census date for registration

• 1st December

• No income unless student registered

Allocation to resource centres based on

• Cost weight of subject

Postgraduate research student funding frequently asked questions

• www.leeds.ac.uk/appo/RAM/PGRFaq.pdf

Home/EU Full-time UK/EU Research Student Funding Rates 10/11 Standard Fees charged

Research cost band

Weight-ing

HEFCE com-ponent(£)

Tuition fee com-ponent(£)

Gross allocation(£)

Central charges(£)

Net allocation(£)

High cost laboratory subjects

1.6 5468 3392 8859 1868 6991

Intermediate cost laboratory subjects

1.3 4442 3392 7834 1822 6012

Others 1.0 3417 3392 6809 1776 5033

[Academic Planning and Performance Office, www.leeds.ac.uk/appo/RAM/Rates1011.pdf]

Handover

• Ensure that appropriate handover material and advice is available to your successor.

Take-home message

The role of the Postgraduate Research Tutor may be summarised as:

• the enhancement of research quality and research culture within their School, Department or Unit

• the University is committed, as part of its Research Strategy, to increasing the numbers of research students, but not at the expense of quality.

• BEWARE pressure to make offers to funded students that do not meet the University’s entrance requirements or who wish to research in areas that cannot be adequately supported

Postgraduate ResearchTutors Forum 2011

Part 2

Overview

• Recent Developments and general issues

• Changes

• Reminders

• Enhancements

• Work of the Postgraduate Research Funding Oversight Committee

• Postgraduate Research Student Experience (PRES)

• Personal Development Record System

Recent Developments

Dr Peter Gardner

Jackie Findlay

Changes

English Language Requirements

Immediate – June 2011

• Minimum University English Language Entry requirements increased in line with UKBA (Tier 4 Visa requirements).

• Now overall IELTS 6 with at least 5.5 in each component (reading, Writing, Speaking, Listening).

• More details available on RSA website for other English language tests

• Some Schools already have English Language requirements above the new University minimum requirements.

Code of Practice for Research Degree Candidatures 2011-12

• PGR Tutors must report to a formal Committee or other body in the School as well as to the Faculty Graduate School Committee

• The admissions team should consider any potential ethical issues with the research area proposed

• Responsibility of supervisors to make students aware of ethical procedures and ethical review

• Members of transfer panels must be from a cognate subject area or discipline to the work submitted by a student.

Transfer procedure reminders

• The transfer panels for full-time students must take place within the first 12 months.

• Outcomes can be

• Transfer to PhD

• Transfer to MPhil

• Deferral of a decision

• Requirement to withdraw from the University

• Deferral can only be approved for a period up to 18 months from the date of commencement of study

• Outcomes after deferral can be:

• Transfer to PhD

• Transfer to MPhil

• Requirement to withdraw from the University

Transfer procedure from 2011-12

• Where work submitted after deferral is considered unsatisfactory and the transfer panel is considering transfer to MPhil or a requirement to withdraw from the University:

• ALL CANDIDATES IN THIS POSITION MUST BE OFFERED A SECOND TRANSFER INTERVIEW

Suspensions/Extensions of Study from 2011-12

• The definitions for “suspensions of study” and “extensions of study” have been redefined. More details in “Policies” on RSA website.

“Suspension of Study”

Period of interrupted study – student leaves temporarily and loses their registration status. (eg illness (with medical certificates), bereavement, maternity, etc)

“Extension of Study”

Lengthening of candidature to take account of a period of disruption of studies. Student will not leave the programme but will progress more slowly. (eg equipment breakdown, recovery from surgery, etc)

For International Students from 2011-12

UKBA expects international students on long term suspensions to return to their country of origin (can remain in UK for only up to 60 days).

Unsatisfactory Academic Progress procedures from 2012-13

• Graduate Board has agreed that a new procedure will be introduced for PGR students.

• Discussions will take place early next session with Faculty Graduate School Committees on draft procedures.

• Criteria will include (among others)

• failure to adhere to University attendance monitoring requirements

• failure to attend specified English language training

• failure to attend training which has been specified within the student’s training plan

Engaging research students with research ethics and impact

• Research Student Handbook describes student responsibility for ethical review and approval

• The code of practice for research degree candidatures covers student and supervisor responsibilities for ethics

• 2011/12 learning outcomes make reference to research ethics

• Research ethics and societal impact are covered in training

• Schools should encourage students to undertake ethics training where salient ethical issues are known to potentially exist

• Schools are strongly encouraged to run a dedicated training event on the impact and ethical implications of research

• Ethics checks are in place on forms at transfer and exam entry

• Some schools require ethics and wider societal impact to be covered at the transfer and final examination

Support for disabled research students 2011-12

• Research Student Handbook and Guide for Research Degree Supervisors to contain more information about support for students with disabilities

• Leaflets for PGR students with disabilities and for supervisors

• Disability section on RSA website

More detailed information contained in the PGRT Forum Information Booklet

On-line registration for degree ceremonies

• All students now have to register their graduation choice (July, December, in absentia) on-line at http:www.leeds.ac.uk/ceremonies/conferment

• Full instructions are given to postgraduate research students by RSA on thesis submission receipt, follow-up email and award letter.

• Replaces previous paper-based registration process.

Dean of Postgraduate Research Studies

Professor Paul Harrison

Main responsibilities

• Increase external income from PGR students

• Ensure we attract the best PGR student to Leeds

• Enhance the overall PGR student experience

• Raise the visibility and profile of PGR both internally and externally

Transferable Skills Training

Researcher Training Group

• Chaired by Professor Steve Scott

• Recommending post “Roberts” approach

Faculty facing teams

• MAPS/ENG/Env

• FBS/M&H

• Arts/PVAC/ESSL/LUBS

Process of reorganising people currently ongoing

Home/EU Full-time UK/EU Research Student Funding Rates 10/11 Standard Fees charged

Research cost band

Weight-ing

HEFCE com-ponent(£)

Tuition fee com-ponent(£)

Gross allocation(£)

Central charges(£)

Net allocation(£)

High cost laboratory subjects

1.6 5468 3392 8859 1868 6991

Intermediate cost laboratory subjects

1.3 4442 3392 7834 1822 6012

Others 1.0 3417 3392 6809 1776 5033

[Academic Planning and Performance Office, www.leeds.ac.uk/appo/RAM/Rates1011.pdf]

Reminders

Appointment of Supervisors

• Postgraduate Research Tutors have delegated responsibility for recommendations for the appointment of supervisors. Close contact is needed with the Head of School on HR matters.*

• The criteria may need review soon in relation to new national legislation upon retirement issues as well as the University VLS scheme.

• The PGRT has responsibility for ensuring that suitable supervisory arrangements are in place throughout the candidature.

* “Eligibility for Research Degree Supervision” – under “Policies” on RSA website.

Appointment of Supervisors

If a sole supervisor is scheduled to leave before the candidature is completed, the School is asked to consider the situation and, if appropriate, provide an assurance that appropriate supervision will be put in place should the supervisor leave. Alternatively they may wish to recommend that a co-supervisor be appointed.

Recognising Research Excellence in Doctoral Theses

• Since September 2010 examiners have been invited to comment on ‘research excellence’ identified in thesis/oral examination

• Reflects ‘outstanding’ achievement over and above that expected for award of degree (see booklet for more detail)

• Straight pass/minor editorial corrections only

• Examinations Group endorse – candidate will receive letter of congratulations from PVC for Research

• During 2010/11 session 5 cases have been endorsed by the Group

Submission of eTheses

• Applies to doctoral awards only

• Mandatory for all students who commenced study from September 2009 onwards

• The eThesis must be submitted to RSA after examination and after all corrections have been approved by the Examiner(s)

• The submission to RSA consists of

• A completed Thesis Deposit Form

• The hard bound version of the thesis

• The eThesis (pdf format) which is identical in content to the bound version

• Relevant supervisors and students should be reminded of the mandatory arrangements

Enhancement Activity

Recruitment of high quality students and subsequent support

Recommendations currently under discussion for support of students

• More effective monitoring of PGR intake; better screening of quality; interviews at application stage prior to acceptance

• Possible 6 month assessment to identify where additional support is required and training needs reviewed

• More thorough diligence in the transfer process; support packages for “borderline cases”

• Full-time students entering Year 3 to produce a plan for completing the research. Reminders to students that the final year is commencing

Recruitment of high quality students and subsequent support

Recommendations for consideration in Schools for raising awareness

• Assess implications and impact of non-completion and extended completion-times eg

o risks to research council funds

o practical implications for schools – desk space,

o supervisors’ time

• Dissemination of good practice by Schools with particularly high qualification rates within their Faculties and cognate disciplines

Enhancement Activity

• Referred students are less likely to obtain their qualifications; supervisors to be reminded of responsibilities (minimum 5 supervision meetings during the referral period)

• Possibility of tightening requirements with regard to English language proficiency for those whose first language is not English (being explored by Programmes of Study and Audit Group)

The Postgraduate Funding Oversight Committee

Professor Mike Wilson

PG Research Tutors Forum July 2011

Background

The University’s Postgraduate Research Project, under the sponsorship of the PVC Research and Innovation identified the following as strategic priorities:

Increasing the intake of high-quality PGR students

The acquisition of funding for PGR students

The use of its resources to support its strategic objectives in PGR

The need to compete successfully for ‘centres of excellence’.

Background

In the light of this:

The Postgraduate Funding Oversight Committee (PGRFOC) was convened on 15th February 2011 to align and coordinate activity funding-relates activity, and to support the University and Faculties to grow externally funded PGR activity

PGFOC reports to Graduate Board, Research Board and the Research & Innovation Theme Team

Terms of Reference (paraphrased)

Receive reports on PGR funding

Identify performance gaps

Provide an oversight of external funding opportunities

Make recommendations as to the future deployment of university resources

Prepare and position the University to bid for centres of excellence

Membership

Karen Innis (Marketing Director, Faculty of Engineering)

Prof Anne Kerr (Pro-Dean R, ESSL, leader of ESSL White Rose Bid) Prof Ian Kirkpatrick (Grad School Director, LUBS)

Prof Steve Marsden (Pro Dean R&I, MaPS)

Caroline Neave (Senior Administrator, PG Scholarships, RSA)

Katy Sargeant (Finance Manager, Engineering)

Prof Edward Spiers (PGR Project Director, Director BGP) Prof David Westhead (Grad School Director, FBS)

Prof Mike Wilson (Dean, MaPS)

PGRFOC activities

Oversight of funding opportunities

Oversight of success in securing external funding

Oversight of PGR funding performance → performance gaps → supporting strategies

Recommend ways to achieve better leverage and marketing impact from the deployment of University’s resources

Oversee the development and establishment of a new, targeted approach to allocation of internal funding for PGR

PGRFOC activities

Identify ways to prepare and position the University to bid for centres of excellence (e.g. BGP, DTC)

PGRFOC activities

Any questions?

PGRFOC activities

Postgraduate Research Experience Survey

Dr Heather Sears

Postgraduate Development Record System (PDRS)Sally Edwards

Steve Paxton

PDR system – functions & benefits

• allow supervisors’ and PGRTs easier access and overview

• web-based, securely accessible off campus

• allow for electronic sign off of key documents

• allow joint supervisors share information more easily

• Indicate and remind about ‘milestone activities’

• provide a record of progress and supervision

• provide reports

• Easy for postgraduate researchers and supervisors to use

• replace paper-based processes.

PDR system – Update

• User teams in faculties and schools

• Current user testing

• Training 18 – 29 July to administrators and PGRTs

• Available and schools and faculties in August, live from September

www.leeds.ac.uk/student_processes_project/pdrs/index.htmlS.Edwards@adm.leeds.ac.uk

Training sessions - A.J.Leach@leeds.ac.uk