Overview of University Perspective

1
University of Leeds
PhD Degrees in the University of Leeds 1


Presented by Nick Marler Institute for Transport
Studies
FileERSSScience0106-mod(010506).ppt
2
Overview of Part 1

• The University of Leeds perspective on PhD
  Degrees
• Admission and the first year
• Administration and the Universitys Code of
  Practice

3
1. Perceptions what is a PhD Degree?
4
Your own experience as a research student (or a
prospective research student)
Task 1

• If youve been a research student, what were
• The good points?
• The bad points?
• Very short answers if possible
• An undergraduate student asks you
• What is a Research Degree?
• What answer would you give?

5
What is a PhD Degree?

• A big green book
• A final year project done properly
• Not continuation of undergraduate study
• 3 year postponement of career decision
• Advanced educational certificate - I can do
  research - here is an example
• Training to do independent research
• Not a soft option
• A test of staying power
• Cheap researcher for department
• Mark of self evaluation
• An original contribution to knowledge

6
2. The University of Leeds Perspective on PhD
Degrees
7
Research degrees clarification

• Three main types of research degree in UK
• - PhD/EdD/other doctorates
• - MPhil
• - Master by Research (MRes)
• Most of this seminar will be concerned with PhD
  degrees
• Note that a PhD degree in the United Kingdom is
  wholly by research there are no taught
  components

8
A PhD Degree

• Research Project
• Training Programme
• Performance Indicator
• Submission rates and qualification rates
• Influence on RAE
• Numbers
• Degrees awarded
• Publications
• Source of funds for University and Schools
• Quality Assurance Agency Audit

9
Expectation

• A thesis for a PhD degree
• Represents research that may reasonably be
  expected of a capable and diligent student after
  the appropriate period of study e.g. 3 years for
  a full-time PhD.

Learning Outcomes for research degrees are
published in all the booklets produced by
Research Degrees and Scholarships Office.
10
Research Degree Assessment Criteria
Learning Outcomes for all Research Degree
Programmes

• PhD/EdD/other doctorates
• Originality
• Independent critical ability
• Matter suitable for publication
• MPhil
• Independent contribution
• Material at a level suitable for publication

11
Formal criteria for success

• To qualify for the award of the degree of Doctor
  of Philosophy each candidate must meet the
  required learning outcomes, and satisfy the
  examiners that his/her achievement is of
  sufficient merit and that his/her thesis contains
  evidence of originality and independent critical
  ability and matter suitable for publication
  through
• (a) presenting a thesis or alternative form of
  thesis as prescribed under Regulation 30 on the
  subject of his/her advanced study and research
  and
• (b) presenting him/herself for an oral
  examination and other such tests as the examiners
  may prescribe.

University of Leeds Ordinance X, Regulation 29
12
Examiners View

• In Leeds, examiners for the degree of PhD are
  asked to report under the following headings
• On the nature and purpose of the investigation
• On the evidence of originality with an indication
  of the nature of any such evidence
• On the evidence of independent critical ability
  with an indication of the nature of any such
  evidence
• On the extent to which the thesis contains matter
  suitable for publication
• On the written style and overall presentation of
  the thesis
• On the performance of the candidate in the oral
  examination

13
Periods of Study
Degree Period of Study
Full- Time Part- Time
Standard Maximum Standard Maximum
PhD 3 years 4 years 5 years 7 years
Integrated PhD 4 years 5 years - -
EdD 3 years 4 years 5 years 7 years
MPhil 2 years 3 years 4 years 6 years
Mastership by Research 1 year 1 year 2 years 2 years





14
New Entrants at Leeds Trends
2002/03 2003/04 2004/05 2005/06
Full-time UK/EU 345 327 335 328
Full-time International 149 187 188 156
Part-time UK/EU 139 108 139 108
Reduction caused by the transfer of MRes degrees
from research to taught prog categories
15
New Entrants at Leeds Trends

Reduction caused by the transfer of MRes degrees
from research to taught prog categories
16
Numbers of Research Students
(continued in next slide)
Full- time Part-time
H/EC Intl H/EC
ARTS 93 35 50
PVAC (performing visual arts and communications) 44 39 39
Business 26 41 22
ESSL (education, social science and law) 50 42 75
Total University 919 457 384
December 2005
17
Numbers of Research Students
Full- time Part-time
H/EC Intl H/EC
Earth and Environment 76 39 16
Biological Sciences 191 36 9
MAPS (maths physical sciences) 160 62 13
Engineering 149 143 28
MDPH (medical, dental public health) 130 20 132
Total University 919 457 384
December 1st 2005
including Transport Studies
18
Full-time PhD submission rates within 4 years
(continued in next slide)
ARTS PVAC ESSL BUS Total University
Started year 2 32 21 20 13 368
Submitted in 4 years 25 14 9 5 249
submitted 78 67 45 39 68
suspensions and extensions 19 29 30 39 24
2000 starters
19
Full-time PhD submission rates within 4 years
Biol Sci Env Eng MAPS MDPH Total Uni
Started year 2 75 32 72 73 30 368
Submitted in 4 years 54 20 37 61 24 249
submitted 72 63 51 84 80 68
suspensions and extensions 24 22 39 11 17 24
2000 starters
20
PhD completion rates

• HEFCE will monitor completion rates (and
  qualifications) in HESA returns
• If concern, QAAHE to investigate
• Will publish the information (HESA)
• Funding implications (next slide)

Higher Education Funding Council for
England Higher Education Statistics
Agency Quality Assurance Agency for Higher
Education
21
Research Councils (AHRC, ESRC etc.)

• National bodies which award money to universities
  and departments for studentships (and for other
  things)
• Sanctions against Universities for poor PhD
  submission records
• AHRC Where universitys 4 year full time
  submission rate is lt50 then university is
  ineligible for doctoral student awards for 2
  years
• ESRC Where Universitys 4 year submission rate
  by full-time scholarship holders is lt60 then no
  new studentships may be held for 2 years

22
Funding for UK/EU PhD students

• Census date for registration
• Those registered 1st December qualify for funds
• No income unless student registered
• Allocation to resource centres based on
• Cost weight of subject (more expensive research
  receives more)
• Subject to School receiving at least grade 4 in
  RAE 2001

23
UK/EU Student Funding Rates
Research Cost Band Weighting 2005/06 research student funding rates (net) per full-time student (includes tuition fees)
High cost laboratory subjects 1.6 7,160
Intermediate cost subjects 1.3 6,120
Others 1.0 5,080
24
Year 4 of a Full-Time PhD

• Overtime Period
• No HEFCE funding for the University
• No funding for schools
• But candidate still entitled to supervision!

25
Minimum English Language Requirements

• For entry to research degree study
• IELTS 6.0 (Previously 5.5)
• not less than 5.5 in listening and reading and
• not less than 5.0 in speaking and writing)
• TOEFL 550 (Previously 530)
• 4.0 on the Test of Written English or
• Computer based TOEFL 220
• an essay rating of 4.0
• Internet based TOEFL TOEFL iBT
• Delivered over the internet in secure testing
  centres
• Minimum requirements overall 83 18 in
  listening 20 in reading and speaking 21 in
  writing

26
Appeal Cases and Related Matters

• Importance of giving clear advice and warning if
  work is not adequate
• Give written warnings
• Inform postgraduate research tutor
• Do not wait to take action
• Isolation of supervisor
• Grounds of appeal invariably end up focusing on
  the supervisor

27
3. Admission and the first year
28
Admission

• Supervisor should interview the potential student
• Consideration of the suitability of the student
• Take up references on student / check
  qualifications
• Appropriate expertise of supervisor
• Identification of adequate resources for the
  research
• The English language abilities of non UK students
  should meet the University requirements
• Careful matching of expectations of supervisor
  and student
• Universities make formal offers to students
  centrally, typically offers are made by the
  Registrar

29
The first few days

• There must be a clear induction process
• Induction should include both social and
  research facilities health and safety
  regulations the research degree process in terms
  of
• monitoring progress
• transfer at the end of 1st year
• time scale for thesis submission
• Set clear immediate objectives
• Require the student to get into the habit of
  writing regularly
• Identify training needs make use of available
  training (training needs to be reviewed
  regularly)
• Inexperienced supervisors should be supported

30
During the first year

• Have regular formal supervision meetings and keep
  written records
• Give formal feedback in writing (see next slide)
• In a good research environment students should
  receive support from other staff, such as the
  postgraduate tutor, and fellow students, not just
  the supervisor
• Too much teaching?
• -teaching hours should not exceed maximum
  limits, typically six hours per week
• - it is a requirement for postgraduates who
  teach to be appropriately trained

31
Monitoring Progress

• Stages of a progress review meeting.
• Student and supervisor review objectives set out
  in the report of the previous meeting.
• Student reports either verbally or in writing on
  the extent to which these objectives have been
  met.
• Supervisor acknowledges achieved objectives.
• Discuss unachieved objectives.
• Supervisor and student negotiate new targets.
• Within a day or so of the meeting the student
  hands (emails) a written report of the meeting to
  supervisor. If both agree to content then both
  sign and keep copies. If for any reason the
  meeting was particularly difficult the supervisor
  should make private notes

32
The end of the first year

• Notification of the review procedure to student
  well in advance
• Submission of a written report
• Formal review meeting (upgrade) can the
  student continue towards the PhD?
• Independent assessor
• Assessment of progress towards meeting the
  learning outcomes
• Identification of thesis title
• Formal written feedback to student to identify
  concerns where appropriate
• Student may wish to extend deadline (indication
  of problems?)

33
4. The administrative process and code of
practice for research degrees

34
Administrative Framework
Senate
Graduate Board Research Degrees Office Senior
Assistant Registrar Mrs J Y Findlay - Makes
formal offer of a place and final award of
degrees - Publishes the Research Student handbook
and Ordnances and Regulations for Research
Degrees - Keeps Student file
Faculty Postgraduate Research Committee
School Postgraduate tutor Student file
Supervisor Student file
Student
35
Graduate Board

• Responsible for research students and for overall
  strategy concerning all postgraduates
• Representatives from each Faculty
• Student representation (PGA Representative and
  Education Secretary of University Union)
• Groups to address various matters
• Board works through
• Faculty Postgraduate Research Committees
• School Postgraduate Research Tutors
• Research Degrees Scholarships Office
• - Graduate schools

36
Code of Practice for Research Degree
Candidatures 1

• Defines responsibilities of
• Deans
• Faculty Postgraduate Research Committees
• Postgraduate Research Tutors
• Supervisors
• Students
• At least two members of staff to consider an
  application
• Supervision by a lead supervisor and at least one
  other co-supervisor or adviser
• Statement of minimum standards of facilities
• Training plan to be agreed within one month of
  start and to be reviewed at least annually

new from 2005/06
37
Code of Practice for Research Degree
Candidatures 2

• Students encouraged to keep Personal Development
  Plans
• Students to consult their supervisor before
  undertaking any additional work at the
  University
• At least 12 supervision meetings a year for
  full-time students who first registered before
  September 2005. At least 10 supervision meetings
  a year for those who first register in or after
  September 2005.
• Supervisors responsible for ensuring that there
  are written records of formal supervisory
  meetings
• Transfer panels to include at least one person
  not included in the supervision
• PGR Tutor or Head of School (or senior member of
  the School) to meet with student at least
  annually without supervisors

new from 2005/06
38
Code of Practice for Research Degree
Candidatures 3

• Reading and commenting on the whole of the draft
  thesis prior to submission
• Mock viva to be provided when requested by the
  student
• At least one internal and one external examiner
• Examiners required to submit independent reports
  prior to the oral
• Supervisors may be an observer at the examination
  but if not present must be available for
  consultation

new from 2005/06
39
University of Leeds

PhD Degrees in the University of Leeds 2

FileERSSScience0106-mod(280406)
40
Overview

• Quality assurance
• Additional training
• The final stages

41
5. Quality assurance
42
Quality assurance for PhD degrees

• Quality assurance (QA) is through
• Formal informal practices within departments
• formal procedures within the university
• QA from outside bodies (especially QAAHE HEFCE)
• Many of the codes of practice and procedures
  mentioned elsewhere in this lecture may be
  regarded as part of the QA process

43
QA documents to guide the research degree
process 1

• The Research Degrees and Scholarships Office
  (RDSO) in Leeds University produces a number of
  booklets containing information on Research
  Degrees. Including
• Guide for Research Degree Supervisors, which
  contains a copy of the Code of Practice for
  Research Degree Candidatures
• University of Leeds Research Student Handbook,
  which also contains a copy of the Code of
  Practice for Research Degree Candidatures
• Ordinances and Regulations and Programmes of
  Study for Research Degrees
• Departmental handbooks for PhD students
  supervisors (based on University code of
  practice)

44
QA documents to guide the research degree
process 2

• The RDSO and SDDU also provide the following
• Thesis Format Regulations
• Examination Entry Forms for Research Degrees
• Resubmission Guidelines
• Eligibility to Act as Internal Examiner
• Eligibility to Act as External Examiner
• Internal Examiners Checklist
• Examiners Report Forms
• Composition of the Examining Team and the Role of
  the Supervisor
• Training Opportunities for Research Students
  booklet

45
HEFCE and QAAHE documents

• The Higher Education Funding Council for England
  (HEFCE) and the Quality Assurance Agency for
  Higher Education (QAAHE) take an overview of
  postgraduate research degree programmes. The
  following is a list of reports and documentation
  that they produce which has influenced the sector
  in recent times
• May 1996 HEFCE. Review of Postgraduate Education
  (The Harris Report)
• June 1997 HEFCE circular 12/97 Implementation of
  the Review of Postgraduate Education.
• October 1998 The Quality Assurance Agency for
  Higher Education (QAAHE) Code of Practice for the
  Assurance of Academic Quality and Standards in
  Higher Education Postgraduate Research
  Programmes. (Updated in September 2004).
• Jan 2001 The QAAHE National Qualifications
  Framework.
• May 2001 The QAAHE Quality Audit Report on the
  University of Leeds.
• April 2002 The Roberts Report SET for Success
  (the supply of people with science, technology,
  engineering and mathematical skills), Treasury,
  DfES, DTI, April 2002.
• October 2002 Improving standards in postgraduate
  research degree programmes (A report to the
  Higher Education Funding Councils of England,
  Scotland and Wales).
• September 2004 The Quality Assurance Agency for
  Higher Education (QAAHE), Code of practice for
  the assurance of academic quality and standards
  in higher education, Section 1 Postgraduate
  research programmes September 2004.
• the 21 precepts from this report given
  in the following slides

46
QAAHE Code of Practice

• The code has 21 precepts (given verbatim below)
• 1 Institutions will put in place effective
  arrangements to maintain appropriate academic
  standards and enhance the quality of postgraduate
  research the principal, high-level precept
• 2 Institutional regulations for postgraduate
  research degree programmes will be clear and
  readily available to students and staff. Where
  appropriate, regulations will be supplemented by
  similarly accessible, subject-specific guidance
  at the level of the faculty, school or
  department.
• 3 Institutions will develop, implement and keep
  under review a code or codes of practice
  applicable across the institution, which
  include(s) the areas covered by this document.
  The code(s) should be readily available to all
  students and staff involved in postgraduate
  research programmes
• 4 Institutions will monitor the success of their
  postgraduate research programmes against
  appropriate internal and/or external indicators
  and targets.
• 5 Institutions will only accept research students
  into an environment providing support for doing
  and learning about research and where high
  quality research is occurring.
• 6 Admissions procedures will be clear,
  consistently applied and will demonstrate
  equality of opportunity.
• 7 Only appropriately qualified and prepared
  students will be admitted to research programmes.

47
QAAHE Code of Practice 2

• 8 Admissions decisions will involve at least two
  members of the institution's staff who will have
  received instruction, advice and guidance in
  respect of selection and admissions procedures.
  The decision-making process will enable the
  institution to assure itself that balanced and
  independent admissions decisions have been made,
  that support its admissions policy.
• 9 The entitlements and responsibilities of a
  research student undertaking a postgraduate
  research programme will be defined and
  communicated clearly.
• 10 Institutions will provide research students
  with sufficient information to enable them to
  begin their studies with an understanding of the
  academic and social environment in which they
  will be working.
• 11 Institutions will appoint supervisors who have
  the appropriate skills and subject knowledge to
  support, encourage and monitor research students
  effectively.
• 12 Each research student will have a minimum of
  one main supervisor. He or she will normally be
  part of a supervisory team. There must always be
  one clearly identified point of contact for the
  student.
• 13 Institutions will ensure that the
  responsibilities of all research student
  supervisors are clearly communicated to
  supervisors and students through written
  guidance.
• 14 Institutions will ensure that the quality of
  supervision is not put at risk as a result of an
  excessive volume range of responsibilities
  assigned to individual supervisors.
• 15 Institutions will put in place and bring to
  the attention of students and relevant staff
  clearly defined mechanisms for monitoring and
  supporting student progress.

48
QAAHE Code of Practice 3

• 16 Institutions will put in place and bring to
  the attention of students and relevant staff
  clearly defined mechanisms for formal reviews of
  student progress, including explicit review
  stages.
• 17 Institutions will provide guidance to
  students, supervisors and others involved in
  progress monitoring and review processes about
  the importance of keeping appropriate records of
  the outcomes of meetings and related activities.
• 18 Institutions will provide research students
  with appropriate opportunities for personal and
  professional development.
• 19 Each student's development needs will be
  identified and agreed jointly by the student and
  appropriate academic staff, initially during the
  student's induction period they will be
  regularly reviewed during the research programme
  and amended as appropriate.
• 20 Institutions will provide opportunities for
  research students to maintain a record of
  personal progress, which includes reference to
  the development of research and other skills.
• 21 Institutions will put in place mechanisms to
  collect, review and, where appropriate, respond
  to feedback from all concerned with postgraduate
  research programmes. They will make arrangements
  for feedback to be considered openly and
  constructively and for the results to be
  communicated appropriately.

49
6. Additional Training
50
QAA Code of Practice for PG Research Programmes
(09/04) Re training and development - three
key precepts (18,19,20). 18 Institutions will
provide research students with appropriate
opportunities for personal and professional
development. 19 Each students development needs
will be identified and agreed jointly by the
student and appropriate academic staff, initially
during the students induction period they will
be regularly reviewed during the research
programme and amended as appropriate. 20
Institutions will provide opportunities for
research students to maintain a record of their
progress, which includes reference to the
development of research and other skills.
51
Training Considerations

• Identify training needs through regular formal
  supervision meetings
• Generic training shifting agendas
• PDP and Personal Records

52
Many skills needed so students can PRODUCE a
THESIS.. ON TIME (so they dont run out of
MONEY) and of SUFFICIENT QUALITY and PUBLISH with
minimal STRESS and PRESENT THEIR FINDINGS AT A
CONFERENCE or EXPLOIT THE IP in other ways while
MAINTAINING A LIFE and MANAGING THEIR TIME and
keeping an eye on THEIR NEXT STEPS by BUILDING A
NETWORK and MANAGING THEIR CAREER all without
FALLING FOUL OF ISOLATION 2nd YEAR BLUES and
without INJURING THEIR SUPERVISOR (or vice versa)
53
Skills Statement

1. Research Skills and Techniques
2. Research Management
3. Personal Effectiveness
4. Communication Skills
5. Networking and Team working
6. Career Management

(Joint Statement of the RCs Skills Training
Requirement for Research Students)
54
SDDU Training

• University of Leeds Training and Personal
  Development Opportunities for Research Students

55
Courses Links Info Downloadable TPDP (training
personal dev plan) UKGRAD WRISS
(http//www.leeds.ac.uk/sddu/wriss.htm)
http//www.leeds.ac.uk/sddu/gts/
http//www.leeds.ac.uk/sddu/gts/
56
http//www.grad.ac.uk/ Information for both
Students and Supervisors
57
WRISS

• The White Rose Interpersonal Skills School
  (WRISS) is a local, highly rated, free
  alternative and equivalent to the UK GRAD.
• WRISS 2006 is for all second and third year
  postgraduate research students from the
  Universities of Leeds, Sheffield and York.
• WRISS training is to enhance interpersonal and
  problem solving skills needed for working
  effectively with others.

58
Research Student Personal Record

• Faculty Owned Mandatory
• Evidence of Training Needs Analysis meetings
  between Student and Supervisor
• Training Record
• Evidence of Supervisory Meetings

59
Research Student Training and Personal
Development Plan

• Student owned Optional
• a structured process
• undertaken by an individual to
• reflect upon their own learning, performance and
  or achievement and to
• plan for their
• personal,
• education and
• career development.
• Focussed on the future

60
Training and Personal Development Plan

• Records and Documentation
• 2) Expectations
• 3) Training and Developmental Needs Analysis
• 4) Personal Development Plan

61
the traditional PhD is not well-matched to the
needs of careers outside research in
academia Office of Science and Technology
(1993) - Realising our potential. A strategy for
Science, Engineering and Technology
62
The Roberts Report
institutions are not moving quickly enough to
the needs of industry or the expectations of
potential students. .the training elements of a
PhD, particularly training in transferable
skills, need to be improved considerably HEFCE
and the RCs ... should make all funding related
to PhD students conditional upon students
training meeting stringent minimum standards.
These minimum standards should includetwo weeks
of dedicated training per year, principally in
transferable skills
SET for success. The supply of people with
science, technology, engineering and mathematical
skills. (Chapter 4 Section 4.2)
63
So, the Roberts Money (to Sept 05)
two weeks of dedicated training per year,
principally in transferable skills
MAPS 75,825 Engineering 58,299 Bioscience 54
,621 Environment 27,454 PVAC 6,866 ESSL 4,17
2 LUBS 2,418 Arts 854
Who is in charge of it in your faculty? What they
are doing with it? What they intend to do with
it? What could you do with it?
64
7. The Final Stages
65
Examination Entry

• Exam entry form should be submitted to RDSO 3
  months before thesis submission.
• Supervisor responsible for
• authorising thesis title
• recommending examiners

66
Preparation For The Viva

• In recent survey of Leeds research students, the
  single point which was identified as potentially
  being of most value was the provision of a mock
  viva.
• It is generally felt that students need to give
  departmental seminars on a regular basis as well
  as offering papers at specialist meetings.
• Both of these measures should help the students
  ability to approach the viva confidently.
• Note that the Supervisor(s) are under an
  obligation to read and comment upon a draft of
  the thesis prior to submission (with the proviso
  that it is presented to them in a reasonable
  amount of time).

67
The Oral Examination (1)

• On the first occasion that a thesis is submitted
  the Examiners must, in all cases, conduct an oral
  examination at which candidates are required to
  present themselves and answer questions posed by
  the Examiners.
• The examination must be conducted in English.
• The Supervisor may be an observer at the
  examination but if not present as an observer is
  required to be available for consultation if
  necessary.

68
The Oral Examination (2)

• In cases where the candidate has more than one
  Supervisor, normally only one Supervisor should
  be nominated to attend the examination.
• Now examiners will be asked to write preliminary
  reports prior to the oral.
• The Supervisor takes no part in the
  decision-making process.
• In the case of a resubmission a second oral
  examination may be held if the examiners deem it
  appropriate.

69
The Oral Examination (3)

• It should be noted that if, after reading the
  resubmitted thesis, the examiners reach a
  preliminary view that the candidate has not
  fulfilled the requirements for the award of the
  degree, it is essential that a second oral
  examination be held to ensure that the candidate
  is given every opportunity to defend the work.

70
Examiners Report Form

• Evidence of originality
• Evidence of independent critical ability, with
  an indication of the nature of any such evidence
• Performance of the candidate in the viva-voce
  examination
• Candidates should satisfy the Learning Outcomes

How to define these?
71
Independent Critical Abilitytowards a definition

• Literature review
• evaluating the work of others
• comparing and contrasting various pieces of work
• questioning, as appropriate, the specificity of
  methods, validity of conclusions, etc
• Methods/Results
• being specific about the limitations of
  techniques and equipment
• refining and improving the techniques of others
• Discussion
• questioning the validity of the approach or
  methods used
• questioning any assumptions behind the work
• questioning the results of others in light of
  results from the thesis
• playing devils advocate with him/herself

72
Originalitytowards a definition

• Describing something that has never been
  described before
• Processing existing data in a novel manner
• A new product
• A development of or an improvement of something
  which already exists
• A new theory

• A reinterpretation of an existing theory
• A new research tool or technique
• A new model or perspective
• A critical analysis
• Trying out something in one country that has
  previously only been done in other countries
• Bringing new evidence to bear on an old issue

Adopted from Cryer 1996
73
Leeds University PhD examination outcomes in
academic year 2004/05
. . . and finally, how well did they perform?

• Total number of examinations 520
• Pass 11.5
• Minor Errors 41.9
• Minor Deficiencies 38.3
• Referral 7.9
• Fail 0.6

74
University of Leeds


the end