Confirmation of research higher degree candidature – processes and paperwork

1. Confirmation of research higher degree candidature – processes and paperwork Presented by Gary Johnson and Professor Alan Lawson Office of Research and Postgraduate Studies UQ Graduate School 14 March 2003

2. This presentation will cover • Why we confirm provisional candidates • How confirmation of candidature is administered at the University • What must be done before a candidate can be confirmed and why • What forms are needed and how to minimise processing delays

3. We sought a student perspective Unfortunately.... I can't help you much.  I was one of the students who slipped through the confirmation net.  My confirmation came & went without me doing anything.  The Dept of X either didn't have a program in place at this time, or they simply didn't know about me because I was working in the Y centre. At the time, I was relieved not to have to prepare a presentation or finish a literature review.  In hindsight, I missed a very important and motivating exercise, & now I am snowed under with data collection, writing and still reviewing the literature when I can… (5.5 years later)

4. What is Confirmation? • Necessary stage in the progress towards submission of a research higher degree thesis • Presentation of the candidate’s work so far • Review of the candidate’s academic development and the school’s support for them • Assessment that the candidature is likely to lead to an examinable thesis in the "normal" amount of time for which the student, school and University are funded

5. What are the Ideal Outcomes? • Candidate receives formative advice about the direction, scope, planning, and feasibility of the project • Resources needed to sustain the candidature (the advisory team, technical support, physical and financial resources) are identified and secured • Potential difficulties are noted and resolved before they become actual difficulties

6. What’s New in 2003? • School Confirmation Committee • School confirmation process now requires 4 essential steps • Deferral of confirmation is now an option • A School recommendation is required within a set period of time (4 options) • Confirmation Policy is available at http://www.uq.edu.au/grad-school/documents/rhd-handbook/confirmation.html

7. What’s Required • School Process • Varies from discipline to discipline • 4 steps leading to recommendation from School Confirmation Committee to School Postgraduate Coordinator • University Process • Uniform across disciplines • Recommendation made by School Postgraduate Coordinator to Dean of Postgraduate Students using Confirmation of Candidature Form

8. Before Confirmation (1) • Every provisional candidate must receive clear written advice at the commencement of their candidature about the confirmation process • Procedures • Timing • Format • Scope, Quality and Quantity of work

9. Before Confirmation (2) • Procedures and school expectations should be explained at a formal induction session for all commencing students • Candidates must be directed to the appropriate school and Graduate School forms and documents so that they understand the procedures and the criteria • Candidates must receive written advice of what is required of them to meet the appropriate standard at every stage

10. Confirmation Committee - A communal, corporate, collegial decision to continue to support candidature • A Confirmation Committee of at least 3 members of the school for each candidate • the advisors • the school postgraduate coordinator or a chair of confirmation committee • the Head of School or appropriate delegate (if resource questions need to be considered) • at least 1 staff member who is not on the advisory team but has expertise in the general area of the thesis project • optional representative student member

11. School Process (1) • 4 steps which lead to a recommendation on candidature from the Confirmation Committee to the School Postgraduate Coordinator • A formal written document • A formal oral presentation • Interviews with the candidate and the principal advisor • Written feedback to the candidate and the advisory team

12. School Process (2) • All 4 steps must be part of the process leading to the recommendation on confirmation of candidature BUT • Each school may adapt the form and timing of them in ways that are appropriate to its discipline, its size, and its student cohort

13. Written Component (1) • Sample of academic writing:normally, a critical review of recent, relevant published work in the field • updated thesis proposal • updated plan of research • updated timetable for completion of a thesis suitable for submission and examination

14. Written Component (2) • Review of all resources and skills required to complete the project within the funded period and where they will come from • relevant skills and techniques already gained • skills and techniques needed to solve the research problems raised by the project • professional development skills needed • technical assistance • financial assistance • travel, equipment or facilities

15. Response to written component • The written document should be read and assessed by • the principal advisor • at least two other appropriately qualified expert readers (at least one normally outside the advisory team) • The expert readers should provide written report and evaluation to the Chair of the Confirmation Committee • The Chair normally discusses the reports with the principal advisor and candidate

16. Oral Component • A presentation to an appropriate public forum of disciplinary peers • for the purpose of receiving expert and constructive advice on • the proposed project • its scope and feasibility • the appropriateness of the theoretical approach, methodology, and/or experimental design • May precede or follow written component

17. Interview • The Confirmation Committee interviews • the candidate and the principal advisor together • the candidate separately • the principal advisor separately • Resource issues (especially the advisory team) should be resolved in these interviews

18. Written Report • The Confirmation Committee Chair must coordinate the production of a written report for all candidates, even if “successful” • The report should • summarise the strengths, achievements and developmental needs of the candidate • offer suggestions towards the successful completion of candidature • The report must be provided to the candidate, the advisory team, and the Graduate School • Filed in School

19. University Process • Once the School confirmation process is complete, the Principal Advisor and School Postgraduate Coordinator complete the Confirmation of Candidature Form • This form is required for all candidates and should be completed when confirmation is due regardless of the current status of the School confirmation process • May recommend defer, extend, confirm, terminate

20. Timing of Confirmation • Confirmation is due after the standard period • 6 months FTE for MPhil candidates • 12 months FTE for PhD candidates • A recommendation is expected between 0.75 and 1.25 times the standard period • If no recommendation has been received from the School after 1.5 times the standard period the candidate (and any scholarship they hold) will be terminated automatically

21. School Recommendations • 4 possible recommendations • Confirm candidature • Defer recommendation • Extend provisional candidature (with written advice) • Terminate candidature (never a single step)

22. Defer Recommendation • The recommendation may be deferred for a maximum of 3 months FTE after the initial due date IF • the topic (or approach or methodology) has changed or • preliminary data collection has been unavoidably delayed or • other relevant circumstances have arisen • You cannot defer the recommendation to a date more than 3 months FTE after the initial due date

23. Extend Provisional Candidature • Provisional candidature may be extended for 3 to 6 months FTE after the initial due date • The candidate must receive written advice from the Confirmation Committee stating • why candidature cannot be confirmed • what is required to achieve the appropriate quantity and quality of work • when it must be re-presented to the Confirmation Committee for consideration • This written advice must be attached to the Confirmation of Candidature Form

24. 2nd Extension of Provisional Candidature • Provisional candidature may be extended a second time for 3 months FTE after the revised due date • The candidate must receive written advice from the Confirmation Committee as before • The written advice must be sent to the Graduate School as before

25. 2nd Extension of Provisional Candidature (2) • School Postgraduate Coordinator must provide written defence of a 2nd extension to Dean of Postgraduate Students: • What are the extraordinary circumstances that have lead to the need for a further extension? • Why does the school believes the candidate is capable of fulfilling the written expectations set out in the Confirmation Committee's advice?

26. Terminate Candidature • The school must recommend termination if they cannot recommend confirmation after a second extension of provisional candidature • The candidate may be transferred from PhD to MPhil if the school recommends confirmation as an MPhil candidate • Candidature will be terminated automatically if confirmation has not been achieved after 15 months FTE for MPhil or 24 months FTE for PhD candidates

27. Terminate Candidature (2) • There are three (3) prerequisites for termination before these dates • The School must document that the candidate: • has been given clear written advice that their rate of progress and quality of performance have been unsatisfactory; and • has been given clear, explicit and reasonable written advice about how satisfactory progress and performance may be achieved; and • has not reached the standard set out as necessary for confirmation of candidature.

28. What Causes Processing Delays? • Incomplete or outdated forms • Missing Confirmation Committee reports • Insufficient information • Inappropriate recommendations • Inappropriate or missing signatures • Extra conditions that were set on the Notice of Admission letter not met or addressed • Note: the Confirmation of Candidature Form will be redesigned in the next three months

29. Delay “Hot Spots” • Forms received long after the original due date (confirmation is often a prerequisite for grants, programs, etc) • Extension requests for longer than the standard periods • Extension requests without the Confirmation Committee report • No associate advisor by confirmation

30. Current Situation at UQ • As of 12 March 2003, there are • 1304 provisional candidates (39%) • 708 are due by 31 March 2003 • 329 are due by 31 December 2002 • New confirmation timelines to be implemented following 31 March 2003 • New school process to be implemented by 31 December 2003

31. Web resources • Graduate School website http://www.uq.edu.au/grad-school • Confirmation Policy http://www.uq.edu.au/grad-school/documents/rhd-handbook/confirmation.html • RHD Office forms and documents http://www.uq.edu.au/grad-school/rhd/forms.html • RHD Office reports http://www.uq.edu.au/research/orps/?id=7399