Confirmation of Candidature

'The Basic Principles'

The confirmation of candidature is an important 'quality control check' required by the University before a probationary candidate becomes a confirmed PhD candidate.  The main function of the confirmation process is to assess whether the proposed research project is consistent with the University's definition of the PhD degree, as the School of Botany understands this.  The University's definition states that 'the degree of Doctor of Philosophy signifies that the holder has undertaken a substantial piece of original research which has been conducted under proper academic supervision and in a research environment for a prescribed period'.  The Confirmation Committee's task is therefore to gauge whether what the candidate has proposed is advanced research that can be done within the stipulated three-year time period given progress during the first year.  Above all else, however, the confirmation process should benefit the student.  The student and committee should be able to exchange ideas about the student's research in an atmosphere free of intimidation and recrimination.

The Process

After 12 months of satisfactory progress (18-24 months for part-time candidates), a PhD candidature can be confirmed (or, if a candidate is enrolled in a MPhil and wishes to transfer to a PhD, the candidature can be converted).  The University prescribes the confirmation/conversion requirements in the PhD handbook.  In the Botany School, the candidate is asked to:

• submit a written progress report (at least 2000 words) outlining detailed project/thesis proposal, progress to date, and a timetable for completion.
• give an oral presentation and discuss the written report with their confirmation committee.

Newly enrolled students are informed of these requirements when they are inducted into the department.  Induction usually takes place in March or April.  They are also told they must:

• prepare a progress report in conjunction with their supervisor(s).  This should begin about 10 months after commencement
• arrange a meeting of their confirmation committee and distribute a printed copy of their progress report to all members in a timely manner
• complete and sign their Confirmation of Candidature form with their supervisor(s).

The School of Graduate Research sends each student a letter reminding them when their confirmation is due.

According to the PhD handbook, the confirmation committee must contain the supervisor(s) and other academic members of the School.  In the School of Botany the committee usually comprises the supervisor(s), a member of the Postgraduate Studies Committee (who also acts as the committee's Chairman) and someone with relevant expertise in the student's area of research.  This is often someone from the Botany School but may also be someone from elsewhere in the University if no one with appropriate expertise (other than the supervisors) is available within the School.  Confirmation committees are appointed by the post-graduate coordinator in consultation with the student’s supervisors.  Students can also invite other people to attend and participate in the discussions of their thesis.  Invited guests are not, however, members of the student’s confirmation committee.

Committee members are expected to prepare for the meeting by reading the report.  It can often be helpful to discuss the report with other committee members (including supervisors) beforehand.

Guidelines for Committee Members

The confirmation process is intended to benefit the student by identifying problems early. The student will also benefit from your independent and expert view of their proposed research.  Treat the report as a research proposal from a colleague who has asked for your assistance and be prepared to offer them helpful suggestions and to point out areas in need of improvement.  It is particularly helpful if you can indicate to the student whether their proposed timetable will allow them to address their key hypotheses and achieve their experimental aims by the time their thesis is due.  It is critical that you draw the student's attention to major flaws in their experimental design.  However, you should distinguish these flaws from other minor and less important methodological issues.  Your subjective view of the student's capacity to carry out a complex set of experiments is helpful, so long as you can balance this view with ways in which the student can address any anticipated difficulties.  For example, you may know a researcher working in a related area and can help put the student in contact with them.  If a student's experiments are technically challenging and likely to lead into areas well removed from the supervisor's usual area of expertise (which is not uncommon), then the committee may also find it helpful to suggest the appointment of an additional supervisor with relevant skills.  Any changes to supervisory arrangements should be done openly and in consultation with both the student and existing supervisor(s).

The Outcomes

The Confirmation Committee, after considering the student's report and presentation, can make one of the following recommendations to the Head of School:

• confirm candidature
• extend the probationary period to a specified date so a defined piece of work can be completed
• conversion of probationary PhD candidature to MPhil candidature or termination of candidature

Most candidates are expected to be confirmed and, as all committee members must sign the report, this should be the committee's unanimous opinion.  Confirmation should not be delayed just because the report has to be modified.  Even extensive modifications can be handled by reconvening the committee after a short period during which the student makes any necessary changes.  Extending the probationary period should only be considered when there is evidence the candidate has not assiduously applied themselves to the course or has otherwise made unsatisfactory progress.  Extensions of 3-6 months are usual but longer extensions can be helpful in more extreme cases.  When the committee recommends an extension, the candidate should be told in writing why they have not been confirmed and what they need to do before confirmation can be reconsidered.  The supervisor(s) should also be advised to monitor the student closely during the extended probationary period, to keep written records of all supervisory meetings, and to document any further evidence of unsatisfactory progress.  Conversion to a MPhil is appropriate for students who would benefit from completing a less ambitious research project under close supervision.  Termination of candidature is a last resort and should only be considered for students whose talents clearly lie in other directions.  This recommendation must only be made after consultation with the Head of School and postgraduate coordinator.

Afterwards

Each confirmation committee has a continuing role during a student's candidature and the student should be able either to approach members individually or to reconvene the committee as the need arises. One suggestion is that this happens annually as part of the student's progress report to Graduate Studies.  The committee can also be asked to reconvene if there are problems that the student and supervisor haven't been able to solve on their own.  If the problem is particularly serious, the advice of the postgraduate coordinator or Head of School should also be sought.  Members of the confirmation committee should maintain their interest in the student's progress and offer them friendship and collegial advice.

Ed Newbigin edwardjn@unimelb.edu.au