8. Progress and review arrangements
See also:
Overview of PGR review points
8.1 Regular review points maximise the likelihood of PGRs completing successfully and on time and help identify PGRs who are struggling, so that advice and support can be offered. For PGRs at York, key review points are formal supervisory meetings (see above), Thesis Advisory Panel (TAP) meetings (see below) and formal reviews of progress (see below).
8.2 The University requires a full-time PGR in their normal period of enrolment to have two holistic review points in a year of study, comprising either two TAP meetings OR a TAP meeting and a progression meeting. These events are pro-rata for part-time PGRs: so a 0.5 fte PGR in their normal period of enrolment will have one holistic review point - either a TAP meeting or a progression meeting - in a year of study.
Development milestones
8.3 Departments are encouraged to specify their own developmental milestones for PGRs. This could include expectations regarding skills training (e.g. the completion of certain courses/modules by a particular point), and regarding the dissemination of information (for example, in some disciplines, a typical PhD PGR might present a poster at an internal conference in year 1, present an internal seminar on their work in year 2, and present their work at an external conference and be in the process of submitting a paper for publication by the time of thesis submission). Departments may opt to incorporate some or all of these milestones into their evidence requirements for formal reviews of progress.
Significant changes to research projects
8.4 If a PGR has to make any significant changes to their research project for any reason (including but not limited to force majeure events), this should be discussed at formal supervisory meetings, TAP meetings and progression meetings. The discussion and any actions should be recorded in SkillsForge for future reference.
Thesis Advisory Panels
8.5 Each PGR must have a Thesis Advisory Panel (TAP), the purpose of which is to provide supportive oversight of a PGR’s research project and their role as postgraduate researcher, and help the PGR reflect on and plan for their:
- Academic progress
- Professional and personal development
- Relationship with their supervisory team.
8.6 In some departments, TAP members also supplement the advice and guidance given by the supervisor(s).
8.7 The University mandates some aspects of TAPs (including the core membership and the number of required TAP meetings) but allows flexibility in other respects to accommodate differences in departmental and disciplinary pedagogical traditions in PGR supervision.
TAP membership
8.8 Departments should ensure that the composition of each TAP (in terms of the number of people and their expertise and experience) is such that it can fulfil its purpose. TAP membership must be approved by the Graduate Chair (or their nominee).
8.9 A PGR’s TAP must include the PGR’s supervisor(s) (the supervisory team) and a non-supervisory independent panel member (IPM) who chairs TAP meetings. The IPM will normally be part of a PGR’s progression panel, providing a link between the TAP and formal reviews of progress. Additional TAP members are at a department’s discretion. PGRs may be consulted on their TAP membership.
8.10 The IPM must be a member of the University’s Academic, Research or Teaching staff (i.e. on Teaching and Research, Research, or Teaching and Scholarship contract) at grade 7 or above OR a member of the University’s Academic, Research or Teaching staff who has experience of supervising PGRs. The IPM must be independent of the supervisory team (i.e. excluding anyone with a close personal relationship (e.g. spouse/partner) to a supervisor such that it might hinder - or be perceived to hinder - their independence).
8.11 The following are eligible to serve as additional TAP members but not as the IPM: research fellows who do not otherwise qualify as an IPM (see above), emeritus and honorary staff at the University of York; technicians at the University of York; academic staff based in other academic institutions; researchers based in industry or professional practice.
8.12 The TAP should be appointed within the first three months of the PGR’s first enrolment, and the PGR informed of its membership.
Required TAP meetings
8.13 A full-time PGR in their period of normal enrolment must have two holistic review points in a year of study. Taking into account the timing of progression meetings (see below and the Policy on PGR Progression) this means that the following TAP meetings must take place:
- Masters by research: two TAP meetings in year one (part-time: one/year)
- MPhil: one TAP meeting in year one, two TAP meetings in year two (part-time: one TAP meeting in years one, three and four)
- PhD (3-year and 3-year variants e.g. 3.5/3.75): one TAP meeting in years one and two, two TAP meetings in year 3 (part-time: one TAP meeting in years one, three, five and six)
- PhD (4-year): one TAP meeting in years one, two and three, two TAP meetings in year 4 (part-time: one TAP meeting in years one, three, five, seven and eight)
8.14 For full-time PGRs, in years when there is a single required TAP meeting (and a progression meeting), the TAP meeting must take place by week 26 from first enrolment (or its anniversary, and subject to any adjustments). For full-time PGRs in years with two required TAP meetings (and no progression meeting), the first TAP meeting must take place by week 26 from first enrolment (or its anniversary, and subject to any adjustments), and the second TAP meeting must take place by week 51 from first enrolment (or its anniversary, and subject to any adjustments). For part-time PGRs, required TAP meetings must be completed by week 51 from first enrolment (or its anniversary, and subject to any adjustments)
8.15 The timing of required TAP meetings is calculated for each PGR within the student record system. Adjustments are made for non-standard start times, leave of absence, and change of mode (between full-time and part-time).
Organisation of required TAP meetings
8.16 Departments should decide if required TAP meetings are scheduled by the department, or organised by the PGRs. Departments are, however, ultimately responsible for ensuring that required TAP meetings happen on time and are correctly recorded.
8.17 Prior to a required TAP meeting, a PGR and their supervisor(s) should complete their sections of the TAP record form and the PGR should provide any supporting documentation requested by their department. Departments may also require PGRs to make a presentation in their required TAP meeting.
8.18 For on-campus PGR programmes (unless a permitted exemption applies), required TAP meetings should be held in-person on-campus (not video-conferencing) to facilitate discussion (unless a PGR is on an approved mobility period). If, exceptionally (e.g. emergency caring responsibilities or disability), a member of the TAP or the PGR (excluding Student Visa holders) has to participate remotely this should be by means of video-conferencing and should be approved by the Graduate Chair. Student Visa holders must have permission from the Visa Compliance team if they cannot participate in-person on-campus. Not all TAP members need to be present at a required TAP meeting: the minimum is one supervisor and the IPM.
8.19 During or immediately following a required TAP meeting, a brief summary of the discussion and future actions must be produced on the TAP record form for reference by all parties.
8.20 The Graduate Chair should monitor TAP record forms to ensure that the TAP process is working well and to intervene if any issues are flagged.
Final TAP: applies PGRs on a Masters by Research, MPhil and PhD programmes that have access to a continuation period/submission pending (i.e. 3/3.5/3.75 year PhD programmes and part-time equivalent)
8.21 No formal review of progress is required for PGRs to enter into a continuation period/submission pending but the PGR’s final TAP meeting should have a greater focus on whether the PGR is on track to complete successfully and in good time.
8.22 The PGR should provide evidence, as specified by their department, to demonstrate that they are in a position to conclude their research, and have planned in a realistic fashion how the thesis will be completed to the required standard within the time available.
8.23 Where a TAP has concerns about a PGR’s progress in a final TAP meeting, the IPM should notify the Graduate Chair. The Graduate Chair should agree with the PGR and their supervisor(s) a number of check-points in the continuation period/submission pending at which progress will be reviewed with the IPM and/or the Graduate Chair.
Additional TAP meetings
8.24 Departments may choose to mandate an additional TAP meeting per year for full-time PhD/MPhil PGRs (and pro rata equ8.24ivalent for part-time PGRs) if they feel that this would be pedagogically appropriate within their discipline. Departments are encouraged to provide an additional TAP meeting per year for full-time PhD/MPhil PGRs (and pro rata equivalent for part-time PGRs) if a PGR has a single supervisor.
8.25 PGRs or TAP members can request additional TAP meetings if they believe that this is necessary or would be beneficial. All parties should endeavour to ensure that a requested meeting takes place within a reasonable timeframe (one month, making allowance for common vacation periods).
8.26 Key points and actions arising from an additional TAP meeting should be recorded on SkillsForge as a general meeting. Alternatively, the TAP record form can be used but this is not a University requirement.
Review of supervision discussion and forum
8.27 The review of supervision (a discussion of supervisory relationship leading to completion of the review of supervision form by the PGR) may be undertaken at the end of the TAP meeting by the IPM and the PGR in the absence of the supervisor. Alternatively, the PGR and the IPM can agree that the review of supervision will be undertaken separately from the TAP meeting as this may provide a more relaxed environment for this discussion.
Raising an issue about a TAP
8.28 If a PGR or TAP member is concerned about any aspect of the TAP or its operation (e.g. a requested TAP meeting does not take place) they should attempt to resolve the matter informally in the first instance. If they feel unable to discuss the matter directly with those concerned, or the problem remains unresolved having done this, PGRs and TAP members should contact their Graduate Chair (or alternate) for advice.
8.29 All forms for TAPs and Progression must be completed on the designated University IT system (currently SkillsForge). Review of supervision forms are separate for reasons of confidentiality.
Formal reviews of progress
8.30 For full details of formal reviews of progress please see the Policy on PGR Progression.
Introduction and purpose of formal reviews of progress
8.31 Every individual is admitted to a PGR programme on the basis of their potential: remaining on their programme is conditional on making satisfactory progress.
8.32 The purpose of formal reviews of progress is to determine whether a PGR, on a programme of more than one year in duration (full-time equivalent), is making satisfactory progress and is on track to complete successfully and on-time.
8.33 Formal reviews of progress consider not only a PGR’s progress in their research project but also other aspects of their programme (e.g. taught/training elements) and their engagement with responsible research (e.g. ethics and data management).
8.34 A formal review of progress should give a PGR an indication of how well they are performing, providing reassurance for those who are meeting expectations and identifying those who are not meeting expectations in a timely manner so that appropriate support can be offered. PGRs are, however, reminded that the outcome of a formal review of progress does not serve as a prediction for the outcome of the final examination.
Brief overview of the process for formal reviews of progress (for full details see the Policy on PGR Progression)
8.35 In a formal review of progress, a PGR is assessed against the relevant University progression criteria by a progression panel, which is independent of a PGR’s supervisor(s).
8.36 Formal reviews of progress take place on an annual basis for full-time PGRs and on a biennial basis for part-time PGRs on all PGR programmes with a duration of more than one year (full-time equivalent). Formal reviews of progress are not required for entry into a continuation period, where this is permitted. This means that a PGR on a three-year (or three year variant i.e. 3.5/3.75) PhD programme (and part-time equivalent) will have two formal reviews of progress, a PGR on a four-year PGR programme (and part-time equivalent) will have three formal reviews of progress, and a PGR on an MPhil programme will have a single formal review of progress.
8.37 The progression panel considers evidence from the PGR and their supervisor(s) at a progression meeting at which the PGR is present. Based on the evidence and the discussion with the PGR, the progression panel will make a decision as to whether the PGR has met or not met the relevant University progression criteria and make a recommendation regarding PGR progression.
8.38 If the progression panel decides that the PGR has met the relevant University progression criteria, it should recommend that the PGR be progressed.
8.39 If the progression panel decides that the PGR has not yet met the relevant University progression criteria, it may recommend:
- that the PGR be given a second and final opportunity to meet the relevant University progression criteria; or
- that the PGR be invited to transfer to an MPhil programme (for PGRs enrolled on a PhD programme only) or an MA/MSc (by research) programme; or
- that the PGR be invited to withdraw from the University.
8.40 PGRs are permitted a maximum of two opportunities to meet the relevant University progression criteria at each formal review of progress. If a PGR has not met the relevant University progression criteria after two attempts they will be deemed to have failed the progression point and they will be transferred to an alternative programme or withdrawn.
8.41 At the first attempt, a PGR is not obliged to accept a recommendation for transfer or withdrawal and may instead opt for a second and final opportunity to meet the relevant University progression criteria.