Confirmation of research Confirmation of research higher degree higher degree candidature – candidature – processes and processes and

paperworkpaperwork

Presented by Gary JohnsonPresented by Gary Johnsonand Professor Alan Lawsonand Professor Alan Lawson

Office of Research and Postgraduate StudiesOffice of Research and Postgraduate StudiesUQ Graduate SchoolUQ Graduate School

14 March 200314 March 2003

This presentation will coverThis presentation will cover

• Why we confirm provisional Why we confirm provisional candidatescandidates

• How confirmation of candidature is How confirmation of candidature is administered at the Universityadministered at the University

• What must be done before a What must be done before a candidate can be confirmed and whycandidate can be confirmed and why

• What forms are needed and how to What forms are needed and how to minimise processing delaysminimise processing delays

We sought a student We sought a student perspectiveperspective

Unfortunately.... I can't help you much.  I was one of the Unfortunately.... I can't help you much.  I was one of the students who slipped through the confirmation net.  My students who slipped through the confirmation net.  My confirmation came & went without me doing anything.  confirmation came & went without me doing anything.  The Dept of X either didn't have a program in place at 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 this time, or they simply didn't know about me because I was working in the Y centre.was working in the Y centre.

At the time, I was relieved not to have to prepare a At the time, I was relieved not to have to prepare a presentation or finish a literature review.  In hindsight, I presentation or finish a literature review.  In hindsight, I missed a very important and motivating exercise, & now missed a very important and motivating exercise, & now I am snowed under with data collection, writing and still I am snowed under with data collection, writing and still reviewing the literature when I can… (5.5 years later)reviewing the literature when I can… (5.5 years later)

What is Confirmation?What is Confirmation?

• Necessary stage in the progress towards Necessary stage in the progress towards submission of a research higher degree thesissubmission of a research higher degree thesis

• Presentation of the candidate’s work so farPresentation of the candidate’s work so far• Review of the candidate’s academic Review of the candidate’s academic

development and the school’s support for development and the school’s support for themthem

• Assessment that the candidature is likely to Assessment that the candidature is likely to lead to an examinable thesis in the "normal" lead to an examinable thesis in the "normal" amount of time for which the student, school amount of time for which the student, school and University are fundedand University are funded

What are the Ideal What are the Ideal Outcomes?Outcomes?

• Candidate receives Candidate receives formativeformative advice advice about the direction, scope, planning, and about the direction, scope, planning, and feasibility of the project feasibility of the project

• Resources needed to sustain the Resources needed to sustain the candidature (the advisory team, technical candidature (the advisory team, technical support, physical and financial resources) support, physical and financial resources) are identified and securedare identified and secured

• Potential difficulties are noted and Potential difficulties are noted and resolved before they become actual resolved before they become actual difficultiesdifficulties

What’s New in 2003?What’s New in 2003?

• School Confirmation CommitteeSchool Confirmation Committee• School confirmation process now requires School confirmation process now requires

4 essential steps4 essential steps• Deferral of confirmation is now an optionDeferral of confirmation is now an option• A School recommendation is required A School recommendation is required

within a set period of time (4 options)within a set period of time (4 options)• Confirmation Policy is available at Confirmation Policy is available at

http://www.http://www.uquq.edu.au/grad-school/documents/.edu.au/grad-school/documents/rhdrhd-handbook/confirmation.html-handbook/confirmation.html

What’s RequiredWhat’s Required

1.1. School ProcessSchool Process• Varies from discipline to disciplineVaries from discipline to discipline• 4 steps leading to recommendation from 4 steps leading to recommendation from

School Confirmation Committee to School School Confirmation Committee to School Postgraduate CoordinatorPostgraduate Coordinator

2.2. University ProcessUniversity Process• Uniform across disciplinesUniform across disciplines• Recommendation made by School Recommendation made by School

Postgraduate Coordinator to Dean of Postgraduate Coordinator to Dean of Postgraduate Students using Postgraduate Students using Confirmation Confirmation of Candidature Formof Candidature Form

Before Confirmation (1)Before Confirmation (1)

• EveryEvery provisional candidate provisional candidate mustmust receive clear receive clear writtenwritten advice at the advice at the commencement of their candidature commencement of their candidature about the confirmation processabout the confirmation process•ProceduresProcedures•TimingTiming•FormatFormat•Scope, Quality and Quantity of workScope, Quality and Quantity of work

Before Confirmation (2)Before Confirmation (2)• Procedures and school expectations Procedures and school expectations shouldshould

be be explainedexplained at a formal induction session at a formal induction session for all commencing studentsfor all commencing students

• Candidates Candidates mustmust be directed to the be directed to the appropriate school and Graduate School appropriate school and Graduate School forms and documents so that they forms and documents so that they understand the procedures and the criteria understand the procedures and the criteria

• Candidates Candidates mustmust receive written advice of receive written advice of what is required of them to meet the what is required of them to meet the appropriate standard at every stage appropriate standard at every stage

Confirmation CommitteeConfirmation Committee

- A communal, corporate, collegial - A communal, corporate, collegial decision to continue to support decision to continue to support candidaturecandidature

• A Confirmation CommitteeA Confirmation Committee of at least 3 of at least 3 members of the school for each candidatemembers of the school for each candidate• the advisorsthe advisors• the school postgraduate coordinator or a chair of the school postgraduate coordinator or a chair of

confirmation committeeconfirmation committee• the Head of School or appropriate delegate (if the Head of School or appropriate delegate (if

resource questions need to be considered)resource questions need to be considered)• at least 1 staff member who is not on the at least 1 staff member who is not on the

advisory team but has expertise in the general advisory team but has expertise in the general area of the thesis projectarea of the thesis project

• optional representative student member optional representative student member

School Process (1)School Process (1)

• 4 steps which lead to a recommendation 4 steps which lead to a recommendation on candidature from the Confirmation on candidature from the Confirmation Committee to the School Postgraduate Committee to the School Postgraduate CoordinatorCoordinator

1.1. A formal written documentA formal written document

2.2. A formal oral presentationA formal oral presentation

3.3. Interviews with the candidate and the Interviews with the candidate and the principal advisor principal advisor

4.4. Written feedback to the candidate and Written feedback to the candidate and the advisory teamthe advisory team

School Process (2) School Process (2)

• All 4 steps All 4 steps mustmust be part of the be part of the process leading to the process leading to the recommendation on confirmation recommendation on confirmation of candidatureof candidatureBUT BUT

• Each school may adapt the form Each school may adapt the form and timing of them in ways that and timing of them in ways that are appropriate to its discipline, its are appropriate to its discipline, its size, and its student cohortsize, and its student cohort

Written Component (1)Written Component (1)

1.1. Sample of academic writing:Sample of academic writing: normally, a critical review of normally, a critical review of recent, relevant published work in recent, relevant published work in the fieldthe field

2.2. updated thesis proposalupdated thesis proposal3.3. updated plan of research updated plan of research 4.4. updated timetable for completion updated timetable for completion

of a thesis suitable for submission of a thesis suitable for submission and examinationand examination

Written Component (2)Written Component (2)

5.5. Review of all resources and skills required Review of all resources and skills required to complete the project within the funded to complete the project within the funded period and where they will come fromperiod and where they will come from

• relevant skills and techniques already gainedrelevant skills and techniques already gained• skills and techniques needed to solve the skills and techniques needed to solve the

research problems raised by the projectresearch problems raised by the project• professional development skills needed professional development skills needed • technical assistancetechnical assistance• financial assistancefinancial assistance• travel, equipment or facilitiestravel, equipment or facilities

Response to written Response to written componentcomponent

• The written document should be read The written document should be read and assessed byand assessed by• the principal advisor the principal advisor • at least two other appropriately qualified at least two other appropriately qualified

expert readers (at least one normally expert readers (at least one normally outside the advisory team)outside the advisory team)

• The expert readers should provide The expert readers should provide written report and evaluation to the written report and evaluation to the Chair of the Confirmation CommitteeChair of the Confirmation Committee

• The Chair normally discusses the reports The Chair normally discusses the reports with the principal advisor and candidatewith the principal advisor and candidate

Oral ComponentOral Component• A presentation to an appropriate public A presentation to an appropriate public

forum of disciplinary peersforum of disciplinary peers• for the purpose of receiving expert and for the purpose of receiving expert and

constructive advice onconstructive advice on• the proposed projectthe proposed project• its scope and feasibilityits scope and feasibility• the appropriateness of the theoretical the appropriateness of the theoretical

approach, methodology, and/or experimental approach, methodology, and/or experimental designdesign

• May precede or follow written componentMay precede or follow written component

InterviewInterview

• The Confirmation Committee The Confirmation Committee interviewsinterviews•the candidate and the principal the candidate and the principal

advisor togetheradvisor together•the candidate separatelythe candidate separately•the principal advisor separatelythe principal advisor separately

• Resource issues (especially the Resource issues (especially the advisory team) should be resolved advisory team) should be resolved in these interviewsin these interviews

Written ReportWritten Report

• The Confirmation Committee Chair The Confirmation Committee Chair mustmust coordinate the production of a written report coordinate the production of a written report for all candidates, even if “successful”for all candidates, even if “successful”

• The report shouldThe report should• summarise the strengths, achievements and summarise the strengths, achievements and

developmental needs of the candidatedevelopmental needs of the candidate• offer suggestions towards the successful completion offer suggestions towards the successful completion

of candidatureof candidature

• The report The report mustmust be provided to the candidate, be provided to the candidate, the advisory team, and the Graduate Schoolthe advisory team, and the Graduate School

• Filed in SchoolFiled in School

University ProcessUniversity Process

• Once the School confirmation process is Once the School confirmation process is complete, the Principal Advisor and School complete, the Principal Advisor and School Postgraduate Coordinator complete the Postgraduate Coordinator complete the Confirmation of Candidature FormConfirmation of Candidature Form

• This form is required for all candidates and This form is required for all candidates and should be completed when confirmation is should be completed when confirmation is due regardless of the current status of the due regardless of the current status of the School confirmation processSchool confirmation process

• May recommend defer, extend, confirm, May recommend defer, extend, confirm, terminateterminate

Timing of ConfirmationTiming of Confirmation• Confirmation is due after the standard periodConfirmation is due after the standard period

• 6 months FTE for MPhil candidates6 months FTE for MPhil candidates• 12 months FTE for PhD candidates12 months FTE for PhD candidates

• A recommendation is expected between 0.75 A recommendation is expected between 0.75 and 1.25 times the standard periodand 1.25 times the standard period

• If no recommendation has been received If no recommendation has been received from the School after 1.5 times the standard from the School after 1.5 times the standard period the candidate (and any scholarship period the candidate (and any scholarship they hold) will be they hold) will be terminated terminated automaticallyautomatically

School RecommendationsSchool Recommendations

• 4 possible recommendations4 possible recommendations• Confirm candidatureConfirm candidature• Defer recommendationDefer recommendation• Extend provisional candidature Extend provisional candidature (with written advice)(with written advice)

• Terminate candidature (never Terminate candidature (never a single step)a single step)

DeferDefer Recommendation Recommendation

• The recommendation may be deferred for The recommendation may be deferred for a maximum of 3 months FTE after the a maximum of 3 months FTE after the initial due date IFinitial due date IF• the topic (or approach or methodology) has the topic (or approach or methodology) has

changed changed oror• preliminary data collection has been preliminary data collection has been

unavoidably delayed unavoidably delayed oror• other relevant circumstances have arisenother relevant circumstances have arisen

• You cannot defer the recommendation to You cannot defer the recommendation to a date more than 3 months FTE after the a date more than 3 months FTE after the initial due dateinitial due date

ExtendExtend Provisional Provisional CandidatureCandidature• Provisional candidature may be extended Provisional candidature may be extended

for 3 to 6 months FTE after the initial due for 3 to 6 months FTE after the initial due datedate

• The candidate The candidate mustmust receive written advice receive written advice from the Confirmation Committee statingfrom the Confirmation Committee stating• whywhy candidature cannot be confirmed candidature cannot be confirmed• whatwhat is required to achieve the appropriate is required to achieve the appropriate

quantity and quality of workquantity and quality of work• whenwhen it must be re-presented to the it must be re-presented to the

Confirmation Committee for considerationConfirmation Committee for consideration• This written advice This written advice mustmust be attached to be attached to

the the Confirmation of Candidature FormConfirmation of Candidature Form

22ndnd Extension Extension of Provisional of Provisional Candidature Candidature • Provisional candidature Provisional candidature maymay be be

extended a second time for 3 extended a second time for 3 months FTE after the revised due months FTE after the revised due datedate

• The candidate The candidate mustmust receive written receive written advice from the Confirmation advice from the Confirmation Committee as beforeCommittee as before

• The written advice The written advice mustmust be sent to be sent to the Graduate School as beforethe Graduate School as before

22ndnd Extension Extension of Provisional of Provisional Candidature (2)Candidature (2)• School Postgraduate Coordinator School Postgraduate Coordinator mustmust

provide written defence of a 2provide written defence of a 2ndnd extension to Dean of Postgraduate extension to Dean of Postgraduate Students:Students:•WhatWhat are the extraordinary are the extraordinary

circumstances that have lead to the circumstances that have lead to the need for a further extension?need for a further extension?

•WhyWhy does the school believes the does the school believes the candidate is capable of fulfilling the candidate is capable of fulfilling the written expectations set out in the written expectations set out in the Confirmation Committee's advice?Confirmation Committee's advice?

TerminateTerminate Candidature Candidature

• The school The school mustmust recommend termination recommend termination if they cannot recommend confirmation if they cannot recommend confirmation after a second extension of provisional after a second extension of provisional candidaturecandidature

• The candidate may be transferred from The candidate may be transferred from PhD to MPhil if the school recommends PhD to MPhil if the school recommends confirmation as an MPhil candidateconfirmation as an MPhil candidate

• Candidature will beCandidature will be terminated terminated automaticallyautomatically if confirmation has not if confirmation has not been achieved after 15 months FTE for been achieved after 15 months FTE for MPhil or 24 months FTE for PhD candidates MPhil or 24 months FTE for PhD candidates

TerminateTerminate Candidature (2) Candidature (2)• There are three (3) prerequisites for There are three (3) prerequisites for

termination before these datestermination before these dates • The School must document that the The School must document that the

candidate:candidate:1.1. has been given clear written advice that has been given clear written advice that

their rate of progress and quality of their rate of progress and quality of performance have been unsatisfactory; performance have been unsatisfactory; andand

2.2. has been given clear, explicit and has been given clear, explicit and reasonable written advice about how reasonable written advice about how satisfactory progress and performance may satisfactory progress and performance may be achieved; be achieved; andand

3.3. has not reached the standard set out as has not reached the standard set out as necessary for confirmation of candidature.necessary for confirmation of candidature.

What Causes Processing What Causes Processing Delays?Delays?

• Incomplete or outdated formsIncomplete or outdated forms• Missing Confirmation Committee reportsMissing Confirmation Committee reports• Insufficient informationInsufficient information• Inappropriate recommendationsInappropriate recommendations• Inappropriate or missing signaturesInappropriate or missing signatures• Extra conditions that were set on the Extra conditions that were set on the Notice Notice

of Admissionof Admission letter not met or addressed letter not met or addressed• Note: the Note: the Confirmation of Candidature FormConfirmation of Candidature Form

will be redesigned in the next three monthswill be redesigned in the next three months

Delay “Hot Spots”Delay “Hot Spots”

• Forms received long after the original Forms received long after the original due date (confirmation is often a due date (confirmation is often a prerequisite for grants, programs, etc)prerequisite for grants, programs, etc)

• Extension requests for longer than the Extension requests for longer than the standard periodsstandard periods

• Extension requests without the Extension requests without the Confirmation Committee reportConfirmation Committee report

• No associate advisor by confirmationNo associate advisor by confirmation

Current Situation at UQCurrent Situation at UQ

• As of 12 March 2003, there areAs of 12 March 2003, there are• 1304 provisional candidates (39%)1304 provisional candidates (39%)• 708 are due by 31 March 2003 708 are due by 31 March 2003 • 329 are due by 31 December 2002329 are due by 31 December 2002

• New confirmation timelines to be New confirmation timelines to be implemented following 31 March implemented following 31 March 20032003

• New school process to be New school process to be implemented by 31 December 2003implemented by 31 December 2003

Web resourcesWeb resources

• Graduate School websiteGraduate School websitehttp://www.uq.edu.au/grad-schoolhttp://www.uq.edu.au/grad-school

• Confirmation PolicyConfirmation Policyhttp://www.uq.edu.au/grad-school/documents/rhttp://www.uq.edu.au/grad-school/documents/rhd-handbook/confirmation.htmlhd-handbook/confirmation.html

• RHD Office forms and documentsRHD Office forms and documentshttp://www.uq.edu.au/grad-school/rhd/forms.hthttp://www.uq.edu.au/grad-school/rhd/forms.htmlml

• RHD Office reportsRHD Office reportshttp://www.http://www.uquq.edu.au/research/.edu.au/research/orpsorps/?id=7399/?id=7399