Gill Clarke, Oxford University, UK <gill.clarke@gtc.ox.ac.uk>

1. ICPD-3 WorkshopFlorence, 2nd April 2012Design and Delivery of Research Supervisor Trainingfor Professional Doctorates Gill Clarke, Oxford University, UK <gill.clarke@gtc.ox.ac.uk> Professor Tony Fell, University of Bradford, UK <a.f.fell@bradford.ac.uk> Dr Annette Fillery-Travis, Middlesex University, UK <a.fillery-travis@mdx.ac.uk>

2. Research Supervisor Training for Professional Doctorates • Context • Significant growth of Professional Doctorates in UK • Drivers for training/development of Research Supervisors • Principles of research supervisor development • Professional Doctorate programme structures • Doctoral research phases, supervisory styles & coaching • The Learning Contract & managing expectations • Key areas of supervision • Resources – Professional & research skills – Writing skills – Meetings – Completion • Examination issues • Revising research degrees chapter in UK Quality Code • Discussion – Reflection on experience

3. Context – 1 • In the world of work outside academia there is a clear need for research up to Doctoral level • PhD not always perceived to offer requisite professional & transferable skills for employment outside academia • Professional Doctorate – significant growth in UK: • Facilitates development of research skills in the world of work • Opportunity for development of practitioners • Confers status as a researcher • Consistent with Life-long Learning agendas • Fulfils legitimate career aspirations • inc. Education, Business, Healthcare, Law, Engineering …

4. Context – 2 The Professional Doctorate aims to: • Fulfil the essential requirements of any doctorate: • Original contribution to scholarship • Publishable research • Work of the candidate is their own independent research • Candidate defends and supports the Thesis in a Viva • Produce research and professional competences that are broadly equivalent to a regular PhD • Principal differences: • Orientation towards the world of work • Emphasis on the reflective practitioner • Facilitate development as an independent researcher and as a reflective practitioner in the professional arena

5. Context – 3 • Practice-based Doctorate also fulfils comparable needs in Arts – Design – Architecture – Theatre – Music – Dance … • Emphasis on the creative context – Exhibition, Performance … • Broad range of Prof Docs in Australia, UK, USA since 1980’s • EdD, DBA, DEng, DProf, DClinPsy, DHealthSci & related areas… • Drivers for Research Supervisor development • Need to ensure consistency of student experience of doctoral research • Expectations of employers of work-based candidates • Applies to both Internal and External Supervisors • Recommended in National Codes of Practice (QAA) • National QAA Audit …

6. Principles of Research Supervisor Development • Generic programme facilitates inter-disciplinary learning • Programme structured to cover doctoral training in sequence from recruitment to the Viva voce • Create maximum opportunity for Supervisors to share experiences • Key materials selected to ensure minimum of short PPt presentations • Case Studies focus discussion in small groups* • Encourage Supervisors to develop their OWN model of research supervision from the materials discussed *Group membership should be balanced to represent all sectors

7. *Typical Case Studies – 1 • Mismatch of expectations • Conflicting advice: Jack & Jill / Ali (Y1) • Arrogance & the 7-day week syndrome: Hamish & Anita (Y1) • Neglect – “Visiting Professor syndrome” • Stella & Amy (Y1) • Neglect – ineffective supervision by Work-based supervisor • Percival & Danny (Y2/3) • Conflict of Interest • Huw & Jane (Y3)

8. *Typical Case Studies – 2 • Financial pressures • Jack & Jon / Freddie (Y3) • Plagiarism • Inadvertent: Pietro & Li (Y3) • Non-inadvertent: Mary & Bernardo (Y4) • Non-inadvertent: Nic & Jenny (Post-Doc) • Problematic PhD Exam • Prof Charles & Dr Eva / Steve (Y3) * Developed at University of Bradford over the past 12 years

9. Programme Structures – 1 The structure of Professional Doctorates & Practice-based Doctorates varies with the UK HEI: • Nature of structured training & experiential training • Balance of time between • research training versus research activity • Nature and quantum of research output • Thesis / Dissertation – length • Artefact (& Thesis) – originality • Performance (& Thesis) – aesthetic features • Mode of Assessment

10. Programme Structures – 2 Professional Doctorates typically involve 3 parts: • [A] Directed study – predefined structured training • Typically modular & credit rated (ECTS) – validated / audited • Substantial Portfolio of original data give evidence of competences • Portfolio assessed to evaluate candidate’s performance • [B] Research programme • Substantial research programme focused on professional practice • Research may comprise one theme – or multiple linked themes • In the UK research is not subject to credit-rating • Thesis is often shorter than the PhD thesis – because PD is balanced by extensive Portfolio compiled during [A] • [C] Assessment of Thesis and Examination by Viva voce

11. [A] Directed Study and Assessment [A] Directed Study and Assessment [B] Research and Writing of Thesis [B] Research and Writing of Thesis [C] Assessment of Thesis & Viva Examination Board Decision [C] Assessment of Thesis & Viva Programme Structures – 3 Model 1 Model 2

12. Phases of Doctoral Research & Supervisory Styles • Structured training & experiential professional skills • Research activities fall into 3 Phases: • Research Phase 1: Getting started • Research Phase 2: Moving forward – The “Productive Phase” • Research Phase 3: Completion • Completing the programme; Writing up the Thesis; • Examination by Viva voce • Supervisor develops adaptive, interactive style for each phase • Phases map onto the Blanchard-Hersey model

13. High 3 2 - Coaching - Phase 2 -Mentoring -Phases 1&2 SUPPORTIVE BEHAVIOUR 4 1 - Delegating - Phases 2&3 - Directing - Phase 1 Low High DIRECTIVE BEHAVIOUR Supervisory Styles – Directive / Supportive behaviour during a typicalProfessional Doctorate [A.F. Fell & A. Fillery-Travis, 2011; adapted from Blanchard & Hersey,1986]

14. Supervisory Styles • Every supervisor has their own preferred style • An effective supervisor adapts their style interactively for each individual candidate – • Depending on: • the candidate’s situation & needs • their innate ability • their stage of academic development • with care to maintain equity among other research candidates • The Blanchard model clarifies the changing relationship between research candidate and supervisor over time • For talented researchers the supervisory style quickly moves to quadrants 3 & 4 Þ coaching-delegating • Whereas … for some candidates the supervisory style remains in quadrants 1 & 2 Þ strongly directive • Bottom line: No supervisory style is always right – “One size doesn’t fit all ”

15. Supervisor as Coach ‘ To support project work now is to find ways of assisting students to develop the expertise needed in any given situation… There is little appropriate didactic role in transmitting knowledge.’ Boud and Costley (2007)

16. Typical PD candidate Mature (typically 35-50) Well established at work, advanced practitioner May have few traditional qualifications to access HE – or could have many! Often has considerable pre-understanding (formal and informal learning) How do you approach your interaction with them?

17. The Learning Contract – 1 • A ‘Psychological Contract’ already operates – so better to make it explicit • Initial meeting with supervisory team is key • Clarify practicalities such as how you meet, when, how often, local arrangements • Assess candidate aspirations/motivation for research • Identify the expectations you have of the candidate – and they of you • Explore their needs as learners • eg for overseas candidates – English as a Foreign Language • Clarify formal review processes & requirements

18. The Learning Contract – 2 • Clarify Prof Doc training / modular requirements • Outline the intended research programme • Big picture – locate project in wider programme • Develop initial plans jointly (eg literature background) • Later during directed study (Part 1) identify milestones and research objectives – short/medium term • Support engagement and ownership of research programme by candidate • Revisit the learning contract periodically – and ask for feedback for yourself

19. Key Areas of Supervision – 1 Resources etc • Identify Resources • Facilities – research space • Library / internal & external resources • IT / access to PC, software eg SPSS, N-Viva • Other resources – equipment, specialists (eg Stats) • Other issues • Induction into research – HEI level, Group level • Induction into Ethics for research area • Clarify IPR issues • Protocols for publication • Identify role of Independent Advisor (if appointed)

20. Key Areas of Supervision – 2 Skills Development • Professional skills: • Review experiential training in the Prof Doc arena • eg relevant research methodologies/skills • Structured training in generic & transferable skills • Training Needs Analysis (TNA) • Explore / assess / recognise specific skills • Jointly agree on skills required for research • Review usefulness of training – cyclical process each year – repeat TNA • Identify additional skills development requirements • Keep records of training received • Many directed study programmes (Part 1) deliver appropriate skills for research

21. Key Areas of Supervision – 3 Meetings / Review • Supervisor/s and candidate meet on an agreed basis • Joint responsibility to define minimum contact • Regular / ad hoc or both? • Professionalism • Frequency varies throughout programme • Records of meetings essential • Candidate keeps record of all planned meetings • Empowerment of student – owns the records • Assessment of understanding of agreed goals • Prompt, constructive feedback to student • Annual research progress review – Progress Report

22. Key Areas of Supervision – 4 Writing &Presentation Skills • Continual development of the student’s writing style through: • Regular reports • Write sections of Thesis as research progresses • Departmental / Group seminar presentations • Short publications • eg WBL e-journal • Abstracts for Conferences • Conference paper/s – Oral or Poster presentations • If appropriate plan a Journal publication • real or aspirational • Avoid the Year 2/3 stall – psychological or otherwise!

23. Key Areas of Supervision – 5 Completion • Confirm Thesis is “owned” by the candidate • Clear any sensitive issues with industrial/external partner • Give supportive advice on completion / timely submission • Encourage candidate to read cognate theses • Annual Progress Reports often the starting point • Best practice – encourage student to: • Write up sections as research progresses • Integrate sections to compile draft Thesis • Draft / publish short paper/s as work continues • Gives independent peer review support • External validation for research programme • Develop the “generic thesis planner” – planning device

24. Generic Thesis Planner – 1

25. Generic Thesis Planner – 2

26. Examination issues – 1 • Selection of Examiners – Internal and External – can present difficulties due to requirements for additional professional expertise • Requirements: • Independent of student work – No conflicts of interest • Balanced for examination experience and expertise • Should be available, fair & reasonable. • Chair of Board ensures fair play – represents HEI • Student usually invited to comment on proposed Examiners before final proposals are made • Examination process • Examiners file independent pre-Viva Reports • Supervisor/s may attend Viva voce – but only if student agrees

27. Examination issues – 2 • Best practice – preparation of the candidate: • Encourage candidate to memorise & practise a short synopsis of the whole research • Alternatively – PowerPoint presentation often required • Candidate has a ‘Practice run’ or ‘Mock Viva’ with Supervisor / colleague • Candidate compiles correction list tabled at the start • Best practice – conduct of Viva voce: • Supportive atmosphere • Many examiners start by asking for a short summary • Builds up candidate’s confidence very effectively • Exploration of relevant background to research • Rigorous, fair discussion of contribution to knowledge • Supportive role of Internal Examiner, as appropriate

28. Examination issues – 3 Viva outcomes: • Examiners nearly always file joint Reports • on Thesis and also on Viva • Minor Corrections are recommended most often (> 80%) • With a list of recommended amendments • MajorCorrections/Resubmission recommended less often • With a list of recommended amendments + possible Viva • MPhil or Masters in Professional Practice • An option if Thesis and Viva are not of doctoral standard • Disagreement of Examiners • Separate Reports clarifying nature of disagreement • Additional (adjudicating) External Examiner may be appointed

29. Research Supervisor Training for Professional Doctorates • Context • Significant growth of Professional Doctorates in UK • Drivers for training/development of Research Supervisors • Principles of research supervisor development • Professional Doctorate programme structures • Doctoral research phases, supervisory styles & coaching • The Learning Contract & managing expectations • Key areas of supervision • Resources – Professional & research skills – Writing skills – Meetings – Completion • Examination issues • Revising research degrees chapter in UK Quality Code • Discussion – Reflection on experience

30. 3rd International Conference on Professional Doctorates (ICPD) 1-3 April 2012, Florence Revising the research degrees chapter of the UK Quality Code or ‘Re-inventing the wheel’? A definition of re-inventing the wheel: ‘To recast something familiar or old into a different form’ (unattributed) Gill Clarke

31. QAA Code of Practice 1999 Section 1: Research Degree Programmes (Version 1) 1999 to 2004: PERIOD OF RAPID DEVELOPMENT QAA Code of Practice 2004 - Section 1: Research Degree Programmes (Version 2) 2004 TO 2012: PERIOD OF SLOWER CHANGE QAA UK Quality Code 2012 - Research Degrees (Version 3)

32. Summary of main changes to Research Degrees chapter Change of title Introduction The research environment (indicator 4) Selection, admission and induction of students (indicators 5-8) Supervision (indicators 9-12) Development of research and other skills (indicators 14-15)

33. The research environment (indicator 4) Added sentence to take account of independent providers Added reference to work settings and work-based supervision Updated knowledge exchange section Replaced Joint Skills Statement with Researcher Development Statement Added a section about collaborative provision

34. Supervision (indicators 9-12) More emphasis on continuing professional development for supervisors Change to indicator 10 re supervisory teams and highlighted roles in support network Indicator 11: suggested format of written guidance and strengthened explanatory text

35. How do HE providers facilitate good supervision? Appoint the right people as supervisors and support their development (I.9) Encourage good communications between supervisors and students and multiple sources of support for both (I.10) Spell out supervisors’ and students’ roles and responsibilities (I.11) Ensure supervisors have enough ‘space’ to be effective (I.12)

36. What students appreciate from their supervisors… Genuine interest in their research An intuitive approach that adapts to changing student needs over time Engagement with and constructively critical and timely feedback on their work Relationships that are friendly but not too informal Clarity about procedures – being well-informed

37. Updates and questions from consultation Is the supervision of professional doctorates adequately covered? Does the (main) supervisor have to be doing current research? Indicator 10: is it stronger/clearer? Importance of not over-burdening supervisors, especially by using teams More guidance on work-based supervisors and supervision? Why don’t we use numbers to regulate e.g. number of students per supervisor?

38. Current Issues • Prof Docs currently showing substantial growth in UK • Supervisor training for Prof Docs relatively new in UK • New UK Quality Code supports training internal & external supervisors • Most candidates register part-time • Problems with funding – unhelpful Research Council policies • Employers / Research partners may give support for staff development • Difficulties with long-term / long-distance supervision • Proliferation of Prof Doc titles • Debate on comparability of standards of Prof Doc vis-à-vis traditional PhD

39. Reflection on Experience • Comments on generic model for PD supervisor training? • National / international experience of training and response of PD Supervisors? • Developing PD Case Studies for training scenarios – need for a data bank? • Training needs for Supervisors of Practice-based Doctorates? • …