1. Management of Student Progress
23 November 2016
Management of Student Progress
Garry T Allison
March 2019

2. Doctoral Thesis
“.. uncover new knowledge either by the discovery of new facts, the formulation of theories or the innovative reinterpretation of known data and established ideas…”
65,000 Thesis students in Australia almost 10,000 per year graduate with a Level 10 award (PhD).
There are just over 40 Institutions that award Doctoral level qualifications

3. Today …. Milestones Setting expectations, essential facilities
Opportunities for progress review
Student-supervisor relationships
Planning for success
When things go wrong
International student issues
What happens next

4. Overview of the Research Degree Path
Application for admission/enrolment
Written research proposal
Oral presentation
School review
Research Integrity
ORCID
HIT
Milestone 1 (candidacy)
(6 months)
Sample of written work
Oral presentation on progress and completion/dissemination plan (conference planning, authorship agreement)
Milestone 2
(Mid-term)
Milestone 3
(Pre-submission)
Oral presentation – celebratory; supervisors nominate examiners
At least 3 months before FEC
Submission of Thesis & Examination
Graduation

5. Current Students as at Dec 2018 ‘What milestones do I need to do?’
Milestone optional
Completed > 3.5 years
Completed > 1.5 years
Candidacy approved?
Enrolled?
YES NO
Milestones
1- Candidacy ✔
2 - Midterm
3 – Pre-submission

6. Milestone #1
Completion of the Research Integrity training (on Blackboard)
Masters - 5 page proposal
Doctoral - 10 page proposal
Presentation of research plan (*)
Budget
Timelines
Risks/HIT
Turnitin report (via Research Integrity)
Data management plan
See Milestones webpage for more
Confirmation Tasks
List tasks that will be achieved in the next 12 months.
Must have a substantial written body of work.

7. Milestone #2 - Confirmation
Milestones cont’d
Milestone #2 - Confirmation
Authorship agreement
Pilot work
Review, Methods paper?
Conference /mobility plan
Oral presentation
Confirmation of Confirmation Tasks
Plan for the next half of the doctoral thesis
(*) Must include Travel / Mobility plan
Milestone #3 - Pre-submission Oral presentation
Oral presentation
A pre-submission approval / acknowledgement
not an oral defence/ examination of the thesis like most other Institutions .. But could mean that the thesis can not be submitted until the candidate demonstrates a understanding of the doctoral award.

8. Who is involved in the student candidature?
There must be 2 committed people
Peers, fellow HDR students
Supervisor
Co-supervisor
Associate Supervisor
Chair of Thesis Committee
Director of Graduate Research (Postgraduate Coordinator)
Head of School
Graduate Research School GSOs

9. How things are progressing?
Thesis Chair…..
n.b. Not implemented Yet.
The new role of the Thesis Chair is to talk to the student and the supervisors at each milestone time period (….and maybe more often).
How things are progressing?
What are the barriers and drivers for the student to reach the milestones in a timely manner?
RU-OK - PhD?

10. Setting expectations:
Milestones – Formal Processes
Candidacy
Midterm (confirmation)
Oral presentation (Pre-sub v Defence)
Setting expectations:
Set expectations early
Milestones
Goals – short/medium/long term
Meetings – how often? Who attends?
Take notes at meetings – record
Support
What support will student need – training/language
Budget for research support/travel
Student s summary and the next agenda / tasks with timelines etc.

11. Essential Facilities for HDR Students
International Campuses – will need to be verified according to the contract and cost of research
See Essential Facilities information – for links to Guidelines for Essential Facilities; and Research Support Fund Reimbursement List
High cost courses Doctoral up to $4,000 at M1 & M2; Masters up to $2,000 at M1 & M2
Low cost courses Doctoral up to $2,800 at M1 & M2; Masters up to $1,400 at M1 & M2
Curtin Sarawak Allocations are in MYR
Students must use Concur to claim reimbursements.
Schools provide access to computer/printer/basic software; desk/chair; storage space; after hours access
Support for Conference Attendance (Doctoral students only), $2,500 – usually after Milestone 2
See also Travel & Insurance for HDR’s
One off $750 for MRes conversion students who have a Living stipend.
Mobility awards – applied for at M#2. Must be taken before M#3.
Open to Masters students

12. Scholarships for HDR Students
Extensions of up to six months may be available where research delays are beyond a student’s control (refer Conditions of Award)
New Australian Government RTP Scholarship Policy and Procedures
Aust. Govt. RTP Fee Offset Scholarship
Aust. Govt. RTP Stipend Scholarship
Aust. Govt. RTP Allowance Scholarship
What scholarships do HDR students receive?
How long is a PhD scholarship??
Fee offset / Tuition Scholarship
Living stipend Scholarship
Top-ups of various forms
Fee offset / Tuition Scholarship
Living stipend Scholarship
Top-ups of various forms
4 years FTE
3 years (+ 6mths) FTE

13. Scholarships for HDR Students
Extensions of up to six months may be available where research delays are beyond a student’s control (refer Conditions of Award)
New Australian Government RTP Scholarship Policy and Procedures
Aust. Govt. RTP Fee Offset Scholarship
Aust. Govt. RTP Stipend Scholarship
Aust. Govt. RTP Allowance Scholarship

14. Reporting – APR; End User Report
Annual Progress Report (APR):
Every year ( April – needs top be done )
Enables student and Thesis Committee to assess the progress of the research project.
The APR is a short online questionnaire. Separate reports for students and supervisors.
Who completes? HDR students who were enrolled on or before 31 December in the previous year
Students who do not submit their APR by the closing date will have their enrolment status changed to Absent Without Leave (AWOL).
Students are ed information and reminders - check OC once a week
End User Survey
Twice per year; compulsory
Online survey – about 10 questions
Students ed information and reminders – check OC once a week

15. Reporting cont’d International Sponsored Students Report
Online information:
Completion only by AusAID and DIKTI scholarship holders, between 1-30 September annually (four weeks)
Director of Graduate Research Enrolling Area Review

16. Progress Reviews Review progress informally at regular meetings
Monitor progress against candidacy/ Project Plan
More formal meetings 3 or 4 times per year with all supervisors
Identify issues that require attention by the supervisor and student
Highlight future matters of concern – research, institutional, personal and sponsorship

17. Changes During Candidature
Thesis Committee Members
Chair
Supervisor
Co-Supervisor
Associate Supervisor
Allocate percentage supervision contribution
Supervisor Leave Arrangements
Variation to Candidacy Details
Thesis title
Thesis Committee
Nomination of Examiners
Ethics

18. Develop rapport and positive student-supervisor relationship
Good relationships
Develop rapport and positive student-supervisor relationship
Cultural sensitivity
Remember – life happens
Workloads
Leave
Personal issues

19. Planning:
Essential for timely completion of thesis
Major milestones
Budgets
Access to facilities
Form of the thesis
Conference and Publication
Plan B

20. Student-supervisor issues
When things go wrong:
Lack of progress
Personal issues – family, financial
Difficulties with data collection
Student unable to grasp “research”
Student-supervisor issues
Personality clash
Disagreement over direction, publications
Writing
Plagiarism, language skills
Milestones are they achieved?

21. International students
Additional coursework
Start date
Plagiarism / Attribution awareness
Isolation
Fees/sponsorship deadlines
International Sponsored Students Unit

22. Attribution of Published work
Transparent attribution to the examiners of the thesis.
Is it OK to:
publish a paper with 4 co-authors and then insert the paper in the thesis as a chapter and NOT acknowledge the publication or the fact that there were other authors?
have two students use the same paper in their thesis if they are both authors?
Not to acknowledge that the works in the thesis have been presented elsewhere?
Not to have co-authors sign off on their contribution to the co-authored papers.
Authorship -- what qualified for authorship?
MUST have an authorship agreement or as a minimum some formal record of the conversation and the agreement of the supervisory panel (AND student.)

23. International Student Tuition Fees
Who pays when sponsorship ends?
Important to develop candidacy that is achievable within sponsorship available
Important to set research milestones and monitor progress in conjunction with sponsorship
Information available from
Fee Centre website and International student fees

24. Turnitin –once at Candidacy (#1) once at Submission.(#3)
Yoda often orders sentences as Object-Subject-Verb, split verbs, switches entire phrases… “Speak like Yoda you can”
Scenario 1
Plagiarism:
Your student is approaching the submission of their Application for Candidacy. Their progress to date has been a little slow, but they have presented you with what seems to be a good quality proposal. As a matter of course you run the proposal past the co-supervisor for a second opinion of the quality. Your colleague’s response takes you by surprise: they recognised passages from a journal article by an overseas academic whom they have worked closely with in the past. You look into this matter further and find that a few passages in the proposal are copied word-for-word from other sources without acknowledgement.
How do you proceed?

25. Scenario 2 Cultural expectations:
You are supervising an international student. They have a good academic record from their previous studies in their home country. However, in preparing their candidacy application it becomes apparent that their previous studies have not included independent research in the way we understand it. You seem to have to give the student very close direction, and they do not take their own initiative. The work that is produced does not show the level of insight or intellectual sophistication required at the PhD level. You are aware that the student can be terminated but are reluctant to do this as the student may face social and financial implications in their home country.
How might you approach this?

26. Scenario 3
IP/Data:
You are supervising a PhD student who has a scholarship as part of a project funded by industry. The student has always been abrasive but has made good progress. Eventually your personal differences become insurmountable - two years into the PhD the student decides to change supervisors. However, the student does not have enough time left to change the focus of the project. They intend to keep the same research topic and use the data they have already collected under your direction. The data is related to your grant and was collected under funding provided by industry for your project.
Can the student do this?
How do you proceed?
What about publications?

27. Scenario 4 Student personal issues: RNA Respect Now Always
You are two and half years into the supervision of a PhD student. They have made good progress. You usually see them every two weeks but after the Christmas holiday period you have not been able to arrange another meeting. The student does not respond to s or answer phone calls. Eventually the student shows up unexpectedly and they appear to be acting a little strangely. Their attitude becomes negative and their behaviour seems erratic. The situation deteriorates to the point that you are convinced there is a mental health issue with the student, but you are not sure how to approach this, or if it is your place to do so. However, if the situation does not improve you do not see yourself being able to continue to work with the student, let alone see them to completion. How do you proceed?

28. Approaches to issues
Where should you go for advice in the first instance?
Do you know where to find the Rules and regulations regarding HDR enrolments?
What resources are available to you and the student?
Who can you ask for advice on the Rules in regards to HDR students?

29. Grievance Procedures
When things go wrong:
Principle – issues are resolved at lowest level possible
Student ↔ Supervisor
Student ↔ Chair Thesis Committee
Student ↔ Director of Graduate Research (Head of Enrolling Area)
Student ↔ PVC
Student ↔ Dean Graduate Research School. Associate DVC, Research Excellence
Complaints - supervision-related complaints dealt with via Complaints Policy and Complaints Procedure

30. Dealing with Plagiarism
Plagiarism Policy on policy website
Misconduct – Statute 10 Student Discipline
Report to HoEA
Ensure student is aware of plagiarism and how to avoid it
Compulsory Research Integrity Training
HDR Turnitin channel on Blackboard

31. Reviewing Student Status
Formal Review Boards after APR
Can change student status at any time (via your Director of Graduate Research)

32. Review of Academic Status
Good Standing: candidates making satisfactory progress and likely to complete the research program
Conditional: candidates whose progress raises concerns as to their ability to complete the research program or fail to meet a milestone.
Terminated: candidates whose progress is unsatisfactory and who are unable to complete the research program
Absent Without Leave (AWOL): (“Conditional on steroids”) candidates who have not submitted an APR by the due date and have not applied to the FGSC for Leave of Absence
Other alternatives: withdrawal, leave of absence
GRS can place a students on Conditional after they go past their time (FEC).
The Supervisors can put a student on Conditional at any time… but they must go through a process to do this to allow for a plan to be made to bring the student back to Good Standing.

33. When to go on Conditional
Milestones are more than one month overdue
Student is overtime (milestone #3 – 45 months): candidate has exceeded 2 years FTE for Masters/4 years FTE for Doctoral. Candidate placed on Conditional usually allowed a further 6 months full time equivalent before formal extension requests required.
Candidacy and other Milestones are not successful.
Failure to meet significant research milestones
AWOL: candidates who do not submit an APR or ISSR
Conditional
The student will be informed, in writing, of the change of academic status and advised of the conditions imposed by the Area.
S - specific, significant….
M - measurable, meaningful, motivational….
A - agreed upon, attainable, achievable, acceptable, action-oriented…..
R - realistic, relevant, reasonable, rewarding, results-oriented….
T - time-based, time-bound, timely, tangible, trackable….

34. Actions on Conditional
Discuss change of status with Thesis Committee
Discuss change of status with student
Determine measurable conditions SMART
Inform student of what attainment of conditions will achieve – good standing or further conditional tasks
Inform student of what failure to attain conditions will mean – cancellation of scholarship, termination etc
Formally advise student of change of status in writing
Copy change of status advice to Chair of Thesis Committee and GSO

35. Moving to termination Discuss change of status with student
Student formally advised by enrolling area/GSO of recommendation to terminate – student has 28 days to show cause
Show cause accepted, termination ceases
Show cause not accepted, termination proceeds
No response, termination proceeds
Termination proceeds, student formally advised of recommendation to terminate forwarded by FGSC to UGSC

36. Actions at Termination (cont’d)
Termination not approved by UGSC – FGSC resolves
Termination approved by UGSC, student formally advised of termination – student has 28 days to appeal process
Appeal received, appeal process
No response, termination is finalised
Appeal proceeds, ends with decision by Provost and student notified of final outcome

37. Reasons for Termination (Rule 10 & 11)#
The enrolment of a candidate may be terminated by the University Graduate Studies Committee, upon the recommendation of the Faculty Graduate Studies Committee, in any of the following circumstances:
where the candidate has failed to submit a thesis within prescribed time limits, including extensions of enrolment as approved by the UGSC (see Section 4(c)(ii));
where the candidate has failed to submit an application for Candidacy within prescribed time limits, including extensions of time as approved by the FGSC (see Section 6(c));

38. Reasons for Termination (cont’d)
where the progress of the candidate is deemed to be unsatisfactory by the Head of Enrolling Area or appropriate alternative (see Section 9(c));
where the candidate is Absent Without Leave for a period exceeding six months (see Section 10(b));
where the candidate has failed to otherwise comply with these Rules.
# Subject to changes.. Milestones #1, #2 and #3. – new Rules / Policies.

39. After Termination
If a student is not satisfied with the result or conduct of the University’s internal complaint handling and appeals process, they have the right to lodge a further appeal with the Western Australia Ombudsman.
The Ombudsman will normally only consider whether the University has followed its own policies and procedures and whether the handling of the case has been fair and reasonable. The Ombudsman does not make a new decision, however, as a result of an investigation the Ombudsman may recommend that the University reconsider the student’s case.

40. After Termination (cont’d)
If a student does not accept that termination of enrolment has occurred a standard response is preferred.
For example, in response to /s: Dear XXX, Thank you for your . Your enrolment at Curtin was terminated on 8 March The internal avenues of appeal have been exhausted and I regard this matter as closed. If you feel that we have not followed the appropriate process in terminating your enrolment, please contact the WA Ombudsman via Kind regards, XXX.

41. Extensions of Time Formal extensions of time
Candidacy – if necessary submit extension form prior to candidacy due date
Thesis – if necessary submit extension form prior to Expected Work Submission Date (EWS) date - 6 Months of overtime. Detail explicit conditions to be met.
Amendment and/or Re-submission of Thesis – beyond 12 months

42. Conflict Resolution Rules:
Section 15, Grievance Procedures, of Rule 10: Degree of Doctor by Research, or Rule 11: Degree of Master by Research
Policies:
Complaints Procedures

43. Conflict Resolution (cont’d)
Contacts:
Conflict Resolution - Manager, Conflict Resolution & Equity; or contact the Integrity and Standards Unit
Postgraduate Students Association
Student Assist Officers within the Curtin Student Guild

44. Third Party Agreements
Intellectual Property – As a general rule the University does not claim ownership of Intellectual Property created by Students independently (sections 4.1 and 4.3 of the Intellectual Property Policy)
Contracts – governs relationship with third parties e.g. IP and publications
Copyright – As a general rule students retain copyright on their thesis unless they agree otherwise in writing (section 4.2 of the Ownership of Intellectual Property Policy)
Confidentiality – University and third party

45. Student Sponsorship
Includes students sponsored by overseas agencies, industry, Commonwealth government, enrolling areas
Student sponsorship by overseas agencies is managed through the International Sponsored Students Unit (ISSU) - International Office
Sponsorship with an external provider who pays tuition fees and/or stipend, etc. as negotiated in the agreement
Issues
Failure to meet scholarship conditions
Failure to make adequate progress in research
Expiry of scholarship – fees and living expenses
Students on LoA, AWOL – advise Scholarships Office

46. Student Sponsorship (cont’d)
Information for sponsored students available via the International Office website:
Information about Sponsorship available via the Fees Centre website:

47. Supervision – resources
Staff portal – Research – HDR Supervision - HDR Supervision at Curtin ) includes links to:
Supervision of HDR Students Policy and Procedures
Guidelines for Establishing the Higher Degree by Research Supervisory Relationship
Guidelines for the Assignment of Conditional Status
Supervisor Registration and Renewal
Academic Integrity, plagiarism and complaints
Collaborative PhD research
HDR Supervisor Training includes links to:
Supervisor Induction, and Notes & iLectures
Current Students – Managing your higher degree by research see next slide
Cont’d over…

48. Managing Your HDR by research

49. Milestones Website

50. Curtin Support/Resources for students
Supervisor team, thesis chair
School Director of Graduate Research
Graduate Research School Staff
Faculty Librarians & Library Research support
University Counselling and Health Services
Research Standards (Ethics and Hazardous Materials)
Research ethics and safety (includes link to HIT)
Health, Safety and Emergency Management
Curtin Institute for Computation
Student Guild and PG Students Committee
Student Assist

51. Questions?