Postgraduate Research Tutors Forum 2011

1. Postgraduate ResearchTutors Forum 2011 Part 1

2. Introduction to the Role and Responsibilities of Postgraduate Tutor Dr Peter Gardner Jackie Findlay

3. Tutors • Dr Peter Gardner • Chair of Graduate Board’s Programmes of Study and Audit Group • Jackie Findlay • Senior Assistant Registrar, Research Student Administration

4. 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]

5. Overview • Administrative Framework • Postgraduate Research Tutor - Role and Responsibilities • Phases of a candidature • Submission and Qualification Rates • Funding • Handover • Summary

6. Administrative Framework Senate Graduate Board Research Student Administration Programmes of Study and Audit Group Examinations Group Higher Doctorates Postgraduate Scholarships Researcher Training and Career Development Steering Group Steering Committee on Doctoral Training Grants 9 x Faculty Graduate School Committees (Director) School Postgraduate Research Tutor Student file/PDRS Supervisor Student file/PDRS Student

7. 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

8. 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)

9. 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

10. 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

11. Qualities Required for PGRT’s • Diplomat / Negotiator • Approachable • Realist / Decision Maker • Guardians of quality for the University • Administrator / Manager

12. 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

13. 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

14. 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.

15. 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.

16. 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

17. 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.

18. 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)

19. 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

20. 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. 

21. 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

22. 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

23. 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

24. 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

25. 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

26. 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)

27. 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

28. 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

29. 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 availablefor experienced internal examiners

30. 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

31. 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

32. Submission RatesStarters in 11/05-10/06 Full-time students

33. HEFCE Qualification Rates (Data for full-time home and EU doctoral students)

34. 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

35. 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

36. Home/EU Full-time UK/EU Research Student Funding Rates 10/11 Standard Fees charged [Academic Planning and Performance Office, www.leeds.ac.uk/appo/RAM/Rates1011.pdf]

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

38. 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

39. Postgraduate ResearchTutors Forum 2011 Part 2

40. 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

41. Recent Developments Dr Peter Gardner Jackie Findlay

42. Changes

43. 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.

44. 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.

45. 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

46. 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

47. 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)

48. 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).

49. 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

50. 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