Guide to Progress Monitoring for External Research Students

During the course of a research student’s candidature, they will be expected to meet regularly with their supervisor(s). At most meetings it is likely that the research student’s progress will be monitored in an informal manner, in addition to attendance checks. Details of the meetings should ideally be recorded on the on-line system. A minimum of four formal supervision meetings is compulsory each year, two of which will be reported to the Postgraduate Progression and Awards Board. During these supervisory meetings the research student’s progress is discussed and formally recorded on the on-line system.

The stages at which the progress of a research student pursuing a 3-year PhD is assessed are outlined below:

Figure 1: Progress Reporting Arrangements

The Progression and Awards Board is a formal body for monitoring each research student’s progress and deciding whether the research student should be allowed to proceed with their research. The Faculty/School should ensure the research student is informed of the criteria (specific criteria to be provided by the Faculty/School) and procedures by which their progress will be assessed. Faculties/Schools must ensure that their specific criteria and procedures are sufficiently robust to ensure that research students who are unlikely to be able to successfully complete the relevant research degree can be clearly identified at an early stage.

The Faculty/School is required to confirm the candidature of a research student to the Progression and Awards Board within three months of their initial enrolment, regardless of when they are enrolling. In doing so, the Faculty/School is confirming that the research student has fulfilled the specified administrative requirements and is academically prepared to undertake the agreed research project. In particular:

• The candidature details are correct: in particular, the start date, the minimum candidature date, the maximum submission date, the names of the supervisors, the mode of study, the subject of study;
• The research student has matriculated for entry to the University;
• A request to submit their thesis in Welsh has been submitted to the Faculty/School and thereon to the Education Services;
• A request to submit the thesis in a language other than English/Welsh (where this is for academic reasons or where submission of the thesis in another language is a requirement of the specific programme) has been submitted to the Student Cases Board;
• A research plan has been agreed between the research student and the supervisors and a brief project summary/synopsis (word limit to be defined by the Faculty/School) noted on the on-line system;
• Ethical aspects of the research have been considered;
• As far as can be reasonably assessed at this stage, the facilities and resources necessary to complete the proposed project will be accessible and shall be outlined in the Student Learning Agreement;
• A Training Needs Analysis has been completed;
• The research student has received the relevant documentation, such as the Faculty’s/School’s Postgraduate Handbook;
• The necessary safety training has been identified and either the research student has completed it or an adequate schedule for its completion has been agreed;
• The research student has attended or will attend any compulsory University or Faculty/School training courses, if applicable;
• The research student is engaging with their studies and any period of absences for more than two weeks are recorded.

2.1

Confirmation of Candidature is required to be completed by the research student and supervisor(s), and recorded on the on-line system which will be recorded as one of the following three possible outcomes:

• Candidature Confirmed
• Defer for three months*
• Required to Withdraw*

*These outcomes will be reported to the Progression and Awards Board.

2.2

A report of all non-confirmed candidatures will be received by the Progression and Awards Board three months after enrolment. If the Faculty/School cannot confirm candidature for a research student, the Progression and Awards Board will require the research student to withdraw from the programme (see Guide to Suspensions and Extensions for External Research Students and Guide to Transfer and Withdrawal of External Research Students). However, in very exceptional circumstances, a research student may submit an application to extend their Confirmation of Candidature by three months to the Progression and Awards Board for consideration.

2.3

After confirmation of candidature has been completed a research student is not permitted to significantly change their topic of research, as such a change would invalidate the confirmation of candidature. If a research student wishes to significantly change their topic of research, they should be required to withdraw from the current degree and re-apply for the new topic of research.

During this initial period, the research student will be expected to demonstrate the ability to proceed with further research and will be expected to meet the criteria set by the Faculty/School to measure their performance. Different Faculties/Schools may have different procedures and criteria for reaching these decisions, but they must be made clear to the research student via the Faculty/School handbook or other written information. The following general criteria are used for all research students when assessing whether they have successfully completed the initial period:

• The research student shows a good knowledge and understanding of their subject and associated methods and techniques;
• The research student has carried out a comprehensive literature review;
• The research student has demonstrated potential to make an original contribution to their field of study;
• The research student can present and communicate their research work orally, and in writing;
• The research student has satisfactorily completed the training modules or courses which were identified at the start of their studies, if applicable;
• The research student can evidence competency, both written and spoken, in the language of submission.
  
  Twice yearly, a formal assessment of progress is carried out by the research student and their supervisors and recorded on the on-line system. The Confirmation of Candidature will be the first of these formal assessments. Subsequent progression report is then submitted to the Research/Postgraduate Committee of the Faculty/School for consideration. The Faculty/School and Research/Postgraduate Committee will either approve the progress or make appropriate amendments. The progress recommendation will be reviewed by the Progression and Awards Board which reaches a formal decision regarding the research student’s progress and continuation.

3.1

In exceptional cases and outside normal process where a supervisor has immediate concerns regarding the progress of a research student, the supervisor may request that a formal progression report be produced for that research student and presented to the next available meeting of the Progression and Awards Board.

3.2

It is the responsibility of the research student to make the Faculty/School aware of extenuating circumstances which could have an effect on their progress. Academic appeals based on extenuating circumstances which could have been brought to the attention of the Faculty/School prior to the meeting of the Progression and Awards Board shall not be considered.

3.3

The research student will be able to view the Progression and Awards Board decision, comments and recommendation, once the recommendation has been confirmed. If the research student is unhappy with the decision reached, and thinks that there are sufficient grounds, they can appeal against the decision using the Regulations for Academic Appeals.

The Progression & Awards Board decision can include one of the following decisions:

Formal progression reports will still need to be recorded on the on-line system and submitted to the Progression and Awards Board biannually throughout the candidature (or more frequently if required). Progression reports seek to establish whether the project is proceeding according to schedule. The progression report can also highlight any concerns or difficulties encountered and action taken or needed to resolve these issues.

In exceptional circumstances, where there is significant disruption to progress, supervisors are advised to hold additional ad hoc RMS meetings with research students and document the discussion. This is particularly important in instances where extensions might be applied for at a later date. Any extensions requested should be submitted in accordance with the relevant guidance.

At the end of the normal supervised period of candidature the research student is expected to have completed their research and to be ready to submit the thesis. The research student’s Faculty/School must submit a formal assessment report on progress to the Progression and Awards Board with a recommendation indicating whether the research student is ready to submit the thesis within six months.  

Different Faculties/Schools may have different procedures and criteria for reaching these decisions, but they must be made clear to the research student via the handbook or other written information. Typically, some of the following criteria are used in order to assess when the research student will be able to submit the thesis: 

• The main body of research is completed (i.e., fieldwork);  

• A first draft of most of the thesis chapters has been produced and reviewed by the supervisors; 
• Full supervision is likely not to be required:  

• Supervision is focused upon reviewing drafts of thesis chapters and/or editing, or; 
• Supervision is now limited to reviewing drafts of remaining chapters (e.g., results and discussion chapters), including final refinements and/or editing; 

• The research student is not ready to submit and has produced an agreed research plan with the supervisors to ensure submission occurs.