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Guide for Research for Postgraduate Theses, Dissertations and Projects

20th January 2011

School of Graduate Studies

Contact: Strathmore University Ole Sangale Road, Madaraka Estate P. O. Box 59857 00200 Nairobi Tel: +254 20 6006268/ 6006380/ 6006492, Ext. 2258 Fax: +254 20 6007498 Mobile: +254 722 205428/ 724255168/ 724255169/ 733618135 Email: SGSDean@strathmore.edu Website: www.strathmore.edu/sgs

WORD FROM THE DEAN On behalf of Strathmore University School of Graduate Studies my colleagues and I wish to extend a warm welcome to you as you embark on your postgraduate research at Strathmore University. The School of Graduate Studies (SGS) was formally established on 1st July 2006.The main functions of the School are to coordinate and facilitate postgraduate studies and activities in the faculties and schools offering graduate programmes at Strathmore University. The School also functions as an administrative and support unit for all graduate students. Inherent in these responsibilities is the development, support and regular review of graduate programmes, oversight of graduate student admission in collaboration with the relevant faculties and schools, monitoring of school standards and requirements, and maintenance of accurate student records; in short providing the requisite environment for graduate studies and activities. In this regard we introduce to you this 2011-2013 edition of the Strathmore Graduate School Guide to Research for Postgraduate Theses, Dissertations and Projects. This guide provides students and supervisors with comprehensive information about the requirements of the research component of their postgraduate degree. It aims to: Clarify procedures required for the completion of the research component of a postgraduate degree; Provide guidelines to students and their supervisors about how to successfully proceed through the system.

I hope that you will find the information in this guide useful. I welcome your comments and should you wish to ask more specific questions or seek clarification about any of the information provided please contact the School of Graduate Studies. Once again, welcome to Strathmore University and all the best with your research work.

Dr. Ruth Kiraka Dean School of Graduate Studies

TABLE OF CONTENTS Content 1.0 2.0 3.0 4.0 Introduction ... Conduct of Postgraduate Research Appointing a Supervisor ... Supervision of Postgraduate Students 4.1 4.2 4.3 4.4 4.5 4.6 4.7 4.8 5.0 6.0 Introduction Responsibilities of Supervisors Conditions for Change of Supervisor... Responsibilities of Candidates Responsibilities of the School/Faculty ... Roles and Responsibilities of the Graduate School... Continuing Supervision of Postgraduate Students Resolution of Conflict between Student and Supervisor . Page 5 7 8 8 8 9 10 11 12 13 13 13 14 16 16 16 16 17 17 17 19 20 20 20 21 21 22

Periods of Study ... Submission and Evaluation of Students Progress Reports ... 6.1 The Purpose and Aims of Progress Reports... Progress Reporting Annual Assessment of Student Research Progress ..

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6.2 6.3

7.0

Submission of Research Proposal..... 7.1 7.2 7.3 7.4 Regulations Governing Research Proposal Submission .. Format of the Proposal .. Steps in Proposal Evaluation Criteria for Assessing the Research Proposal

8.0

Examination of Postgraduate Research 8.1 8.2 8.3 8.4 Submission of Research Report Selection of Examiners ... Preliminary Reports ... Board of Examiners

8.5

Conduct of Defense/Oral Examination .


3

22

8.6 8.7

Mitigating Circumstances . Recommendation after Examination of Postgraduate Research .

24

24 26

8.8

Certification of Final Thesis...

Appendices Appendix A: A Guide to Enhancing a Successful SupervisorStudent Relationship .. Appendix B: Appendix C: Appendix D: Appendix E: Appendix F: Appendix G: Appendix H: Proposed Work Plan .. Application for Academic Leave .. Request for Change of Supervisor ... Application for Extension of Studies Progress Reporting Template ... Thesis Presentation Guide . Thesis Examination Assessment Criteria and Score Sheet ... Appendix J: Appendix K: Appendix L: Thesis Correction Form . Certification of Final Version of Thesis ... Schedule of Important Dates 47 49 50 51 27 31 33 34 35 36 37

1.0

Introduction

Postgraduate studies (except PhD studies) in the University shall normally be by coursework and thesis, dissertation or project. This determination will be as follows:

Programme 1. Master of Commerce


(MSc.IT)

Type of Research Output Thesis

2. Master of Science in Information Technology Thesis 3. Master of Business Administration (MBA) Dissertation

4. Master of Science in Computer-based Dissertation Information Systems (MSc.CIS)


5. Master of Science in Education Management 6. Master of Arts in Philosophy and Ethics 7. Post-graduate Diplomas Differentiating between Thesis, Dissertation and Project For purposes of these guidelines, the terms Thesis, Dissertation and Research Project are used to denote different types of research outputs, as outlined below. Dissertation Dissertation Project

Research Project As a general guide, a research project should be undertaken by students enrolled for postgraduate diplomas and should be characterised by the following: It should demonstrate a basic understanding of the research process. The student should demonstrate ability to systematically sustain a research argument. Be a readily applicable scenario investigation. The project will often have direct applicability to the work environment. It will therefore tend to be a work-based research. The scope of the research output is limited, providing insight and likely solution to a problem within a work environment. Should be done within 3 months, or one semester, part-time. The length of the research project should range between 12,000 to 15,000 words (Approx 40 to 60 pages).

Dissertation A dissertation is a scientific study or investigation meant to address a specific problem and aimed at generating an applicable solution. It is characterised by the following:

An in-depth understanding of the research process. Students are expected to demonstrate academic rigour in carrying out a practically oriented research assignment. The scope of the research output is wide to the extent that it provides insight into an existing problem, and likely solutions to future scenarios. Dissertation is meant for conversion masters (MBA, MSIS, MAPE etc). Dissertation should be done within 3 6 months or half academic year, parttime. Minimum of 20,000 words (Approx 70 pages) and maximum of 25,000 words (Approx 100 pages)

Masters Thesis A thesis is a scientific study or investigation meant to address widely shared problems and aimed at generating probable solutions and generalizable results. It is characterised by: Full application of the science of research. This involves developing a theory, testing or applying a theory. The scope of the research output is wide as it contributes knowledge of both theoretical and practical significance by providing insights, new knowledge or new methodological approaches. Research output should be such that it can be published in an academic journal Masters Thesis is meant for academic masters programmes. Masters Thesis should be done within six months one academic year, parttime. Minimum pages should be 25,000 words (Approx 100 pages) to 50,000 words (Approx 200 pages).

In the following guidelines, the term research work or thesis has been used generically to refer to the three different kinds of research outputs thesis, dissertation and project. The student should therefore apply the guide to their specific research output.

2.0

Conduct of Postgraduate Research

Figure 1 below outlines the process of conducting postgraduate research.

Figure 1: Conduct of Postgraduate Research Student eligible to graduate*

Student completes coursework

Student allocated a supervisor

Board of Examiners communicates decision on examination

PASSED FAILED/ REFERRED Registration extended for 6-12 months

Student attends seminars & develops research proposal

Oral defense of research

Student defends proposal

Research report submitted to SGS for examination

If progress is not satisfactory after 12 months, student may be discontinued

Successful student proceeds to conduct research

Student presents research at faculty seminar

Student writes research report *Eligibility to graduate is upon successful completion of all coursework and research. Students should keep in mind the duration allowable for each research output and ensure they can complete this process within the stipulated timeframe.
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3.0
(a)

Appointing a Supervisor
The term Supervisor is used to denote a subject expert who provides supervision in the students specialist field. Every postgraduate student will be assigned a Supervisor who possesses subject expertise in the students field of research. Postgraduate degree Supervisors should normally hold higher degrees of at least PhD level and be active researchers. A students Supervisor is approved by the Dean of the Academic Unit, and any changes to supervisory arrangements must be approved by the Dean of that unit. Supervisors may be drawn from the following categories: (i) Full or part-time members of academic staff on a permanent contract. (ii) Full or part-time members of academic staff on a fixed term or rolling contract. In the case of such staff the Dean of the Graduate School should be assured that appropriate alternative supervision arrangements can be made following the end of the contract. (iii) A Research Fellow may be appointed as Supervisor, but only with a CoSupervisor who is a member of academic staff on a permanent contract. (iv) An Honorary Research Fellow may be appointed as a Supervisor but only with a Co-Supervisor who is a member of academic staff on a permanent contract. (v) A Supervisor may be appointed from outside of the University, but only with a Co-Supervisor who is a member of academic staff on a permanent contract. In cases (iii)-(v) above, the permanent member of academic staff will assume the responsibilities of ensuring the students progress and maintaining records of progress. Supervisors and Co-Supervisors normally continue their supervisory responsibilities while on leave. When Supervisors leave the University, the School of Graduate Studies has an obligation to provide a continuity of supervision.

(b)

(c)

(d)

(e)

(f)

(g)

4.0

Supervision of Postgraduate students

Supervision is a relationship requiring trust and respect. Students have the right to expect regular, high quality advice, support and direction in their quest for academic excellence. 4.1 (a) Introduction This guide sets out the general requirements of Supervisors, Students and the University in the supervision of postgraduate students. It is supplemented by individual School codes approved by the Faculty/School Boards. See Appendix A for A Guide to Enhancing A Successful Student-Supervisor Relationship. The student and supervisor should complete and sign the Proposed Work plan Form in order to clarify their expectations of each other. A copy of this form may be found in Appendix B. The student and supervisor should keep in mind the Schedule of Important Dates in Appendix L of these guidelines to help them develop an appropriate work plan. 8

(b)

The Graduate School recognizes that supervision practice necessarily varies between disciplines and therefore this guide cannot set out prescriptive requirements for matters such as the level and nature of contact that should be maintained between student and supervisor. Unless otherwise stated this guide applies to both part-time and full-time postgraduate students. During the period of supervision from the time of allocation of supervisor until completion of all stages of the examination (including where necessary any resubmission) responsibilities and obligations are as set out below. Responsibilities of Supervisors

(c)

(d)

4.2

The responsibilities of supervisors are to: (a) Give guidance about the nature of research and the standard expected, the planning of the research programme, relevant literature and sources and research methods. (i) Guidance about the nature of research will include some of the following: a clear understanding in general terms of the main aspects of graduate research, the concept of contribution to knowledge, different kinds of research, and the form and structure of the thesis. (ii) In planning the research programme the Supervisor should ensure that the project can be completed fully, including preparation of a thesis, within the time available and advice the student accordingly. Make the student aware of relevant University research policies and regulations, and legal issues, including but not limited to plagiarism, copyright, data protection, health and safety, and any ethical issues that might arise in the course of research. Assist in the arrangement of necessary administrative steps such as approval research proposal, research seminars, completion of progress reports, etc. of

(b)

(c)

(d)

Maintain contact through regular personal supervision and seminar meetings in accordance with School policy and in the light of any agreement reached with the student. The frequency and nature of these sessions will vary depending on the nature of the research, and the requirements of the discipline. The Supervisor should make provision for the continuance of supervision when he or she is away from the University or takes a period of leave. The Supervisor is responsible for maintaining a record of all supervision with the student. Give detailed advice on the necessary completion dates of successive stages of research in order to ensure that the research work is submitted within the time allowed by the regulations. Hold monthly meetings between the student and supervisor at which progression is discussed and a written note recorded. The records of these monthly meetings remain with the student and supervisor. Request written work as appropriate and return such work with constructive feedback within an agreed period of time.

(e)

(f)

(g)

(h)

Carefully monitor the students performance relative to the required standard, ensuring that inadequate progress or work below standard is brought to the students attention. The supervisor should help with developing solutions to problems as they are identified. If inadequate progress or low performance is persistently recorded, the supervisor should communicate to the Student in writing with a copy lodged with the School of Graduate Studies. Advise the Student in writing of the option of interrupting their studies by applying for academic leave should illness or other adverse personal circumstances impede progress with their research with a copy lodged with the School of Graduate Studies. The student should complete the Application for Academic Leave form in Appendix C prior to taking academic leave. Keep in contact with the student and respond to reasonable requests for assistance. The Supervisor should provide guidance on the writing and preparation of the research work, including commenting on the drafts. The Supervisor is not expected, however, to undertake substantial editing or revision of a draft thesis. Ultimately, the Student is responsible for his or her work and the Supervisors responsibility is to give guidance. Sign off on the submitted research work prior to examination. No research work should be submitted for examination without the signature of the supervisor. Ensure that the Student is prepared for the oral examination and understands its role in the overall examination process. Advise the Student subsequently of the implications of any recommendations from the examiners and assist in the preparation of any re-submission.

(j)

(k)

(l)

(m)

(n)

4.3
(a)

Conditions for Change of Supervisor


Problems may arise in the course of study between the student and supervisor. In such cases it is recommended that the matter is discussed with the Dean of Academic School and a solution is sought. If the problem persists and is hindering the progress of the student, the student may formally write to the Dean of the Graduate School requesting change of supervisor and stating the reasons for the change. Change of supervisors may also occur when a Supervisor leaves the University. Any change of supervisor or request for an additional supervisor must be approved by the Dean of the Graduate School or his nominee. The Request for Change of Supervisor form should be completed. A copy of this form may be found in Appendix D. Responsibilities of Candidates

(b) (c)

4.4

Supervisors have the right to expect a high level of commitment from their candidates who should respond positively to advice and guidance and will develop an increasing level of independence in the conduct of their research. The responsibilities of the Candidate include: (a) Plan and discuss with the Supervisor the research topic and timetable for the research.

10

(b) (c)

Discuss and agree on a schedule of meetings and appropriate feedback. Undertake study as required by the Supervisor which may include directed reading or specialized seminars as required. Familiarize themselves and adhere to relevant University research policies and regulations, and legal issues, including but not limited to plagiarism, copyright, data protection, health and safety, and ethical considerations which might arise in the course of research. The student should also be aware of the regulations for the specific degree for which they are registered. Raise problems or difficulties with their Supervisor, no matter how trivial they seem, and in particular inform their Supervisor of any personal circumstances which prevent them from working on their research. Maintain progress according to the agreed schedule, in particular including the presentation of written material in time to allow for discussion and comment before proceeding to the next stage of research. Take note of, and respond to feedback and guidance from the Supervisor. Keep systematic records of work completed. Inform the Academic School and the Graduate School Office of any changes in address or similar personal details. Complete the administrative requirements of the University. Discuss with the Supervisor the preparation of the thesis and decide, taking account of advice from the Supervisor, when it is ready for submission.

(d)

(e)

(f)

(g) (h) (j)

(k) (l)

(m) Write up and submit the thesis within time and in accordance with the University guidelines for the submission of theses. (n) Take advantage of any relevant skills training offered by the School including preparation for an oral examination, and academic writing. Take responsibility for producing the final copies of the thesis, its content, and ensuring that it is in accord with the relevant requirements, including the standard of presentation.

(p)

4.5

Responsibilities of the School/Faculty

The responsibility for Faculty/School lies with the Dean of Faculty/School. It is the responsibility of the Faculty/School to: (a) Have regard for University regulations in the appointment of Supervisors (b) Ensure continuing supervision of postgraduate students throughout their research work at the University.

11

(c)

Provide information and guidance on the School, Faculty and University regulations and research policies. Ensure the provision of appropriate skills training. Ensure access to sufficient library provision. Approve the research topics for postgraduate students. These should be consistent with the strategic direction of the School. This is done right from the time supervisors are allocated. Monitor students progress and the implementation of these guidelines as they apply to Supervisors and the students. This should include formal reviews of student progress and supervision. Appoint a Committee independent of the supervisors to oversee the academic units research students, ensure quality of supervision, comparability among students, and report to the Graduate School. The committee should follow the established Procedures for Annual Monitoring described in sub-section 6.3 of these guidelines. Arrange appropriate staff development programmes for all academic staff to promote best practice in research supervision. Develop a staff workload model that enables the full work involved in supervision to be taken into consideration alongside other activities.

(d) (e) (f)

(g)

(h)

(j)

(k)

4.6

Role and Responsibilities of the Graduate School

The roles and responsibilities of the Graduate School are to:


(a) (b) (c) Approve the Supervisors recommended by the schools. Approve changes to supervisory arrangements. Liaise with the schools to ensure students complete their research work within the stipulated timeframe. Promote best practice in research supervision in the University. Ensure that a thesis is examined and the oral examination held within three months of submission. Submit to the Schools the lists of students who have successfully completed their research work.

(d) (e)

(f)

4.7
(a)

Continuing Supervision of Postgraduate Students


There are occasions when, because of changes in staff, Faculties or Schools find difficulties in continuing to provide credible supervision for individual candidates registered for postgraduate research. The formal acceptance of a postgraduate student by a School must imply a commitment by the School to provide either from its own resources, or with prior 12

(b)

agreement, in association with another School(s), credible supervision for the period of time necessary for the student to complete the programme of research and submit a thesis. (c) When, during a students period of study, changes in staff make it impossible for the School to fulfil this obligation, the Dean of School must ensure that alternative provision is made, either elsewhere in the University, or, by the appointment of another Supervisor with the necessary specialist knowledge from outside the University. Resolution of Conflict between Student and Supervisor

4.8

Problems may arise in the course of research study between the Student and Supervisor. In such cases it is recommended that: (a) (b) The matter is discussed with the Dean of Faculty and a solution is sought. If the problem persists and is hindering the progress of the Student, the Student may formally write to the Graduate School requesting change of supervisor and stating the reasons for the change. The Request for Change of Supervisor form in Appendix D should be completed in this instance. Any change of supervisor must be approved by the Dean of Faculty or his nominee.

(c)

5.0
(a)

Periods of Research Study


These procedures for the management of periods of postgraduate research are based on the following principles:

There are inherent difficulties in establishing a policy across a diverse range of disciplines and so Schools are given discretion to permit variations to the common policy for particular disciplines and in particular circumstances. (ii) A maximum time is only meaningful if it is upheld; i.e. students failing to submit their theses within the maximum period will be de-registered (and may only be re-registered and permitted to submit theses in the most exceptional circumstances). (iii) While Schools are able to permit early submission of a thesis, due consideration should be given at the time of a students application to whether the research in question can be properly undertaken on a parttime basis.
(vi) The statements of part-time periods of study given below are based on a parttime student being a 0.5 FTE. Schools need to be aware, however, that part-time students can sometimes make faster progress than the 0.5 figure suggests.

(i)

(b)

Students should consult their respective schools to establish the duration allowable for the research study they are undertaking. The Dean of School may approve early submission of a thesis where there are strong academic reasons supported by a statement from the Supervisor. If the Dean of School 13

(c)

refuses an early submission, the student has the right to have the decision referred to the Dean of the Graduate School. (d) Students will be automatically de-registered at the end of the maximum period. Any application for re-registration must be approved by the Dean of their School. In all instances, the recommendation for a reduced or extended period of study must be submitted to the Dean of the candidates School by the Supervisor. A Reduced Period of Study may be granted by the Dean of School in the following circumstances: (i) Where a candidate has transferred from another recognized institution having already completed a certified period of study, this shall be taken into account when determining the further period of study required at Strathmore University. A reduction in the period of study will normally be no more than 1/3 of the normal period of study and the student must have been registered with the University during the academic year prior to completion; (ii) Where a candidate has undertaken significant research as part of his/her employment, a reduction of no more than 1/3 of the normal period of study may be granted; In exceptional cases the progress of the student may warrant the approval of the early submission of the thesis where the above criteria do not apply.

(e)

(f)

(iii)

(g)

Extensions to the overall duration of the period of study following completion of the maximum period of study will only be granted by the Dean of School in very exceptional circumstances. In cases of illness, excessive personal work or other commitments, it is expected that the School will recommend to students that they interrupt their studies at that time, by taking academic leave. Time taken for academic leave is not included when calculating the duration of study of the student. If a student opts not to take academic leave, their total study time will be calculated, and if they have exceeded the maximum time, it is unlikely that an extension of registration will be permitted. Students wishing to apply for an extension to the overall duration of the programme may do so by completing the Application for Extension of Studies form, available from the Graduate School. The form should be signed by the students first Supervisor, and then forwarded to the Dean of School for consideration and recommendation. An outline of work completed against each chapter heading, and a work-plan and schedule should be enclosed with the form. Reasons should also be given as to why the candidate was unable to complete their studies within the maximum time allowed. Recommendation for extension should not be given without these documents being provided to the Dean of Schools satisfaction. A copy of the Application for Extension of Studies form may be found in Appendix E of these guidelines. On recommendation by the Dean of School, a copy of the extension form and supporting documentation should be forwarded to the Dean of Graduate Studies for consideration and approval. The Graduate School Office will notify the student and School of the outcome.

(h)

(j)

14

(k)

The student will also be notified of any requisite fees payable upon approval of the extension.

6.0

Submission and Evaluation of StudentsProgress Reports

6.1 The Purpose and Aims of Progress Reports

All Schools with postgraduate research students should have procedures in place to monitor the progress of their research students. The purpose of the reports is to allow Schools, to evaluate the effectiveness of their monitoring processes and to allow the Graduate School to ensure that there are consistent and robust processes in place across the university. The reports from the Schools should be used as a basis for a Schools self-appraisal of their research degree provision in the Universitys QMS review process. 6.2
(a)

Progress Reporting
Each School has the responsibility of monitoring the progress of its research students. The schools are required to provide reports on student research progress to the School of Graduate Studies Office every six months using the Progress Reporting Template provided by the Graduate School. See Appendix F for a copy of the Progress Reporting Template. Schools should use the reports to highlight issues that have arisen during the monitoring of progress, and to indicate what action has been taken in relation to them. Within the school, students may present the key research findings at faculty seminars organised by the school.

(b)

(c)

6.3
(a)

Annual Assessment of Student Research Progress


On an annual basis Schools are required to carry out a formal assessment of student research progress. The purpose of the report is to allow Schools, on an annual basis, to evaluate the effectiveness of their monitoring processes, and to ensure that there are consistent and robust processes in place across the University. The annual assessment has the following main aims: (i) Give feedback to the graduate school and assist in making formal decisions about current and future registration. (ii) Monitor the nature and frequency of research supervision and other facilities offered to graduate research students. (iii) Assist the University in ensuring parity of provision and fair treatment of students across the University. (iv) Identify problems either in a students research programme or in the studentsupervisor relationship. (v) Identify weak students who may be asked to de-register. 15

(b)

(c)

(d)

Each School will have an Annual Monitoring Panel to conduct this assessment. The members of the Annual Monitoring Panel shall be the following: (i) The Dean of Faculty/School (ii) Two senior members of academic staff within the Faculty/School This panel will normally be the Schools Committee of Graduate Studies. The Academic and Research Director in each School has the responsibility for ensuring that the assessment process is completed, that decisions on progress are communicated to students and to the Graduate School Office, and that a report on the Schools monitoring process is submitted to the Graduate School Board by the designated date. The exact procedures by which Schools seek to monitor the progress of their research students is left to the discretion of the Schools. Schools are at liberty to design processes that best fit the needs of their discipline(s), as long as they meet the requirements of this section. When designing appropriate procedures it should be borne in mind that the process itself should be instructive and useful for the Student and the Supervisor alike.

(e)

(f)

7.0

Submission of Research Proposal

7.1. Regulations Governing Research Proposal Submission

(a)

Students registered for postgraduate studies are required to submit five temporary bound copies of their Research Proposal to their respective school. The Dean of the School will appoint a panel of at least three suitably qualified persons to evaluate the proposal within one month of the student submitting the proposal to the School.

(b)

7.2 (a)

Format of the Proposal Length of Proposal (i) In accordance with these guidelines and the subject area of study, a research proposal for a postgraduate research shall not normally exceed 5,000 words (15 20 pages). (ii) The above maximum is exclusive of footnotes, list of references, appendices, table of contents and timeline. Content of the Proposal Different disciplines may have specific requirements for research proposals. However, the general flow of the proposal should be maintained. The research proposal should contain (but not be limited to) the following sections: Chapter 1: Introduction to the Study 1.1 Introduction 1.2 Background to the study 1.3 Problem definition 1.4 Research objectives
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(b)

1.5 1.6 1.7

Research questions or hypotheses Scope of the study Significance of the study

Chapter 2: Literature Review In this section, the student should organise their argument so as to: (i) Examine the most current studies on the topic, presenting only the significant aspects of these studies. (ii) Compare and contrast different authors views on an issue (iii) Group authors who draw similar conclusions (iii) Show how their study relates to previous studies (iv) Highlight any gaps in research (v) Conclude by summarising what the literature says. From here the link between previous studies and the proposed study is developed, showing the knowledge gap that the proposed study will contribute to. (vi) Develop a conceptual framework, identify and define the variables of the study. Chapter 3: Research Methodology 3.1 The Research Design 3.2 Population and sampling 3.3 Data Collection Methods 3.4 Data analysis 3.5 Research Quality validity, reliability and objectivity of the research. References Appendices: Appendix 1: Timeline of Activities (as agreed with the supervisor). This timeline will be used to track the students progress. Appendix 2: Letter of introduction (to prospective study respondents), where applicable Appendix 3: Research Instrument, where applicable Appendix 4: Any other relevant information for conducting the research, e.g., list of organisations in the population (c) Presentation and Arrangement of Proposal
(i) Paper: International A4 (210mm x 297mm) within range 70 g/m2 to 100 g/m2. No restrictions are placed on the size of the drawings, maps or similar material, which should be bound in with the proposal Margins: 40mm on the left-hand side, 25mm on the right-hand side, top and bottom margins. Typing: On one side of the paper only. One-and-a-half spacing should be used in typescript except for indented quotations or footnotes, for which single spacing may be used. Font size 11 or 12 should be used, and an appropriate font type selected (Times New Roman, Book Antiqua, Arial or Helvetica). 17

(ii)

(iii)

(iv)

Numbering of Pages: All pages, including abstract, appendices, drawings, maps, pages of photographs, etc, should be numbered consecutively in one sequence. Preliminary pages should be numbered using Roman numerals, while Arabic numbering should be used for pages from Chapter 1 onwards. Numbering should be placed at the bottom of the page and aligned at the centre. There should be no running headers and footers.

(v) Sequence: Material should be arranged in the following sequence:


Title Page, with the title of the research, course of study, name and number of student, name of university and date. Authors declaration (being a statement that it is the authors individual contribution, not submitted for a degree award anywhere) Table of Contents List of Tables, Figures, etc (if any) List of Abbreviations (if any) Text (divided into chapters, sections, etc) Chapter 1: Introduction Chapter 2: Literature Review (depending on the work, this could be more than one chapter) Chapter 3: Research Methodology List of References Appendices (if any)

7.3 (a)

Steps in Proposal Evaluation The proposal evaluation is conducted at the Academic School in which the student is registered. The Dean of the Academic School shall appoint a panel comprising of at least three suitably qualified members of academic staff in the University to evaluate the research proposal within a month of receiving the proposal at the School. The panel should include the Supervisor of the student whose proposal is being evaluated. One of the panellists shall chair the session. The panel is required to evaluate and assess the research proposal and to satisfy itself that the proposal can provide a viable framework for conducting postgraduate research that would make contribution to knowledge in the subject area of the proposed study. The student in question is required to make an oral presentation of the research proposal before the panel and be interviewed by the panel. The defense session should take no more than 45 minutes. Members of the panel will be provided with copies of the students proposal two weeks before the date of oral defense.

(b)

(c)

(d)

(e)

18

(f)

An administrative staff member of the School shall attend meetings of the panel and the oral defense for the purpose of taking minutes. Once the panel recommends that the proposal is adequate for postgraduate research, the student embarks to undertake the study.
Criteria for Assessing the Research Proposal The panel shall use the following criteria to assess the suitability of the research proposal in relation to the degree for which the student is enrolled: (i) (ii) (iii) (iv) Academic merit, feasibility and viability of the proposed research Evidence of the candidates ability to relate the subject matter of the thesis to the existing body of knowledge within the field; The students capacity to successfully undertake the research within the timeframe stipulated for the degree. Other relevant criteria as may be determined by the candidates School.

(g)

7.4 (a)

(b)

The panel may make any one of the following recommendations: (i) Endorse the proposal (ii) Endorse the proposal subject to amendments (iii) Reject the proposal If the proposal is endorsed, the student embarks to undertake the study. If the proposal is rejected, the student is given three months and one more opportunity to resubmit. If the proposal is still rejected, the student will be advised that their progress is unsatisfactory and will be counselled about other options, which may include de-registration.

(c) (d)

8.0

Examination of Postgraduate Research

8.1. Submission of Research Report (a) All students are required to submit five copies of a loosely bound thesis to the Dean of the School of Graduate Studies for assessment. The Dean will distribute copies of the thesis received to the internal and external examiners and other members of the board of examiners. A copy of the thesis shall remain in the School of Graduate Studies Office. The research work must be presented in accordance with the Thesis/ Dissertation Presentation Guide for Postgraduate Students given in Appendix G of these guidelines. Each student is required to give one seminar on the findings contained in the research work to their respective faculty prior to submitting it for examination.

(b)

(c)

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8.2
(a)

Selection of Examiners
External and Internal Examiner(s) for the research work shall be appointed from the approved list of examiners. This list is approved by the Academic Council and updated annually. The External Examiner should be a recognized authority in the field and an expert in the specific topic of the research. Unlike the External Examiner, the Internal Examiner need not be an expert on the candidates specific research topic but only an expert within the broader disciplinary field. Once the External and Internal Examiners are appointed, the Dean of the School of Graduate Studies will forward to each of the examiners, the letter of appointment as examiner, together with detailed guidelines for the examination of the research work prepared by the Graduate School. The Dean of the School of Graduate studies shall send a copy of the research work to each of the examiners within two weeks after the candidate submits the research. The two examiners are required to assess the research and submit a detailed written report to the Dean of the School of Graduate Studies within four weeks of receipt of the research. Preliminary Reports Each Examiner is required to prepare in writing (prior to the date of the oral examination), a preliminary report on the research, to inform the conduct of the examination. The report should be submitted to the Dean, School of Graduate Studies within four weeks of receipt of research work by the examiners. Each report, is to be submitted using the Thesis Examination Assessment Criteria and Score Sheet provided by the Graduate School. A copy of this form may be found in Appendix H of these guidelines. It shall be the responsibility of the Dean, School of Graduate Studies to collect the preliminary reports, to circulate them between all the members of the Board of Examiners and to ensure they have been considered by the Board prior to the oral examination.

(b)

(c)

(d)

(e)

8.3 (a)

(b)

8.4 (a)

Board of Examiners Every examination for postgraduate research shall be conducted by a Board of Examiners and all of whom will have PhDs. The Board of Examiners will comprise of the following: the External Examiner, the Internal Examiner, and two senior members of academic staff. One of the two senior members of academic staff in the Board of Examiners to be the Chair of the Board. The Dean of the School of Graduate Studies shall be responsible for resolving any conflict of interest in the appointment of examiners. 20

(b)

(c)

(d)

(e)

The Board of Examiners shall have the following responsibilities: (i) Consider the internal and external examiners reports on the thesis. (ii) Conduct oral examination for the candidate. (iii) Make a recommendation on whether to pass the research work. The Dean of the School of Graduate Studies in liaison with the Supervisors and the Dean of Academic School will convene a meeting of the Board examiners within one month of receiving reports on the research work from the internal and external examiners. At that meeting the Examiners reports will be considered and oral examination for the candidate will be conducted. The Supervisor may attend the oral examination of the candidate but shall not participate in the assessment of the candidate. The School of Graduate Studies shall provide members of the Board of Examiners with copies of thesis and the reports from the internal and external examiners two weeks before the date of oral examination. The Dean of the School of Graduate Studies is responsible for scheduling the oral examination within one month of received the examiners reports, liaising with the candidate and the Examiners. Students should never arrange their own oral examination or directly contact the Examiners. Any variation to this practice requires the written approval of the Dean of Graduate Studies.

(f)

(g)

(h)

(j)

(k)

8.5 Conduct of Defense / Oral Examination 8.5.1 Requirement for Oral Examination (a) The viva voce panel will consist of the board of examiners as detailed in subsection 8.4 above. An oral examination is normally required for postgraduate examinations but may on exceptional medical or personal grounds be waived with the express approval of the Dean of the School of Graduate Studies. An oral examination must be held if:
(i) (ii) (iii) (iv) (d) an oral examination is judged to be necessary by one or more of the Examiners; or there is substantial disagreement between the Examiners; or the Examiner/s are not inclined to recommend the award of the degree for which the work was submitted; or the student wishes an oral examination to be held.

(b)

(c)

In the case of a re-submission, an oral examination should normally be conducted but may be waived if all Examiners are in agreement that such an examination will not be necessary.

21

(e)

The examiners may, if they jointly wish, discuss aspects of the research work with a candidates supervisor before and after the oral examination. Oral examinations for postgraduate examinations should be held within four weeks of receipt of all examiners preliminary reports to the Graduate School. It shall not normally extend beyond one hour. Oral Examination by Video Conference

(f)

8.5.2

In exceptional circumstances, for example, if the External Examiner is at a distance that would make travel costs prohibitive, or if the Student is prevented from travelling to the University, the Dean of Graduate Studies may agree to an oral examination by videoconference. The agreement of the Student must also be given and the School of Graduate Studies is responsible for taking all reasonable steps to ensure that the Student is not disadvantaged in any way compared to the normal situation of a face-to-face viva. 8.5.3 (a) Substitution of Oral Examination by Written Submission In exceptional circumstances, and with the agreement of the Student, Examiners and the Dean of the Faculty/School, the Dean of Graduate Studies may give permission to hold an oral examination by written submission. An oral examination by written submission entails questions relating to the research work and the field being agreed by the Examiners on the basis of their preliminary reports and then put in writing to the candidate, who will normally be permitted a fixed time, commensurate with the nature of the questions, in which to reply in writing. The written replies will be returned immediately to the Examiners who should liaise over the answers and make the normal recommendations following the oral examination. A timetable for the submission of questions to the student, the students reply and the reaching of a decision on the basis of the written reply should be submitted to the Dean of Graduate Studies for approval. The Examiners should seek to assure themselves that the student has not been disadvantaged in any way compared to the normal situation of a face-to-face viva. Mitigating Circumstances Between the preparation of the preliminary reports and the oral examination, the Dean of the Graduate School shall inform the board of examiners of any exceptional circumstances, such as medical or personal, that could have affected the candidates performance in the preparation of the research report or could do so at an oral examination. Evidence must be made available in documentary form. It is for the Examiners to decide the extent to which in their judgment such circumstances could have affected the candidates performance and to make allowance as they see fit. They should not, however, recommend the unequivocal award of the degree sought if the candidate fails to meet the general criteria listed in the Thesis Examination Assessment Criteria and Score Sheet.

(b)

(c)

8.6 (a)

(b)

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8.7 8.7.1 (a)

Recommendation after Examination of Postgraduate Research First Examination of a Postgraduate Research In assessing postgraduate research work, the Examiners are required to look for: (i) evidence of originality and creativity; (ii) evidence of the candidates ability to relate the subject matter of the thesis to the existing body of knowledge within the field; (iii) integration and coherence logical and rational links between the component parts of the thesis (iv) a satisfactory level of presentation and clarity.

(b)

Marks distribution for the Research Work shall be as follows: Research Report 80% of total marks Oral Defence by Candidate 20% of total marks The mark for the research report shall be the average of the two marks from the written assessment reports submitted by the internal and external examiners. The Oral Defence mark shall be the average of the marks of all examiners present during the oral defence of the research.

(c)

A student must pass both the oral defense and the written research report. The pass mark shall be 50% in each case.
When a student fails the research, a recommendation for resubmission is made. The research report must be resubmitted within 12 months (irrespective of the mode of study of the candidate). Resubmission is permitted on one occasion only. Re-Examination of a Referred Research Project A referred research project is one that has failed the first examination for the degree for which it was submitted and the revised research must be re-examined by all the Examiners (external and internal). In referring a research for further work the Examiners should indicate the maximum period in which this work should be undertaken. The maximum period should not normally exceed twelve months. Following re-examination of a postgraduate research the maximum mark the research may be awarded is 50%. Making Recommendations In making a recommendation, the Examiners may take into account any circumstances which might make it impracticable for a candidate to undertake a further period of study. When making recommendations to pass or fail the research work the Examiners are required to indicate for the information of the candidate the reasons for their decision, and where amendments are required, to indicate those aspects or parts of the research work which they regard as inadequate and the nature and extent of the re-writing required.

(d)

8.7.2 (a)

(b)

8.7.3 (a)

(b)

23

(c)

In the case of either first examination or re-examination, the Examiners report should be completed and signed by the Examiners and then submitted to the Graduate School Office. In the case of the oral examination, each member of the Board of Examiners should sign the report which should be submitted to the Dean of the School of Graduate Studies as soon as possible and no later than a week after the oral examination has taken place. Under the exceptional circumstance that the appointed Examiners are unable to reach agreement, the Examiners shall submit independent reports, and the Dean of Graduate Studies shall appoint a third Examiner. The third Examiner shall examine the research work and submit a report and recommendation to the Dean of the Graduate School. The Dean of the Graduate School will then make the final decision on the marks to be awarded to the research work. Candidates should seek the advice of their Supervisor regarding any revisions of material in the research required by the Examiners before submitting the amended research report to the Internal Examiner.

(d)

(e)

(f)

A Student submitting their research work to the Internal Examiner after amendments must complete a Thesis Correction Form and include a detailed report addressing the changes made to their research report. The form and report will be forwarded to the examiner along with the revised thesis. A copy of this form may be found in Appendix J of these guidelines. Certification of Final Thesis

8.8

Once the thesis is corrected and bound, it should be certified as final. The candidate should complete a Certification of Final Version of Thesis Form. This form is a confirmation by the candidate and supervisor that all required corrections have been made and that the thesis is to be submitted for archiving with no further alterations. The form should be signed by the candidate and supervisor and submitted to the Graduate Office together with four permanently bound copies of the thesis and an electronic copy of the thesis. Please note that the thesis submission is not complete if and electronic copy has not been submitted. A copy of the Certification of Final Version of Thesis Form may be found in Appendix K of these guidelines.

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APPENDIX A A GUIDE TO ENHANCING A SUCCESSFUL SUPERVISOR-STUDENT RELATIONSHIP INTRODUCTION The role of a supervisor is to assist their student to devise and complete an independent research program within the allotted time by providing appropriate direction, guidance, feedback and support. For this to occur, the supervisor must be familiar with the practice of research supervision and know what helps and what does not help different sorts of students at different times in the research program. Supervisors must be familiar with the area in which the student works and with the ways of researching and writing within that area. Whilst the supervisors role can be seen as primarily a teaching one, it is important to appreciate that the student is ultimately responsible for the work produced. The supervisor will give advice on the theoretical basis of the project, suggest appropriate reading, provide guidance on research methods and methodology, and generally assist with planning and preparing the research output. The supervisor also has a key role in introducing the student to scholarly networks and encouraging students to participate in the activities of the research community outside of the actual preparation for the thesis. The supervisor should be alert to any difficulties, professional or personal, that the student encounters and where they are unable to help, offer advice on where assistance can be obtained. The responsibility for meeting the expected standard of work lies with the student. The supervisor acts as a guide, offering advice, encouragement and criticism, and it is up to the student to incorporate this advice into the development of a final product that meets the standard expected by the examiners. For a successful supervisory relationship to occur, both sides of the supervisor-student relationship need to be aware of each others expectations. AREAS FOR DISCUSSION BETWEEN THE SUPERVISOR AND STUDENT The following areas of discussion should help to clarify the supervisor and the students expectations of the supervisory arrangement. If there is more than one supervisor it may be appropriate to involve co-supervisors in the initial discussions. If this is not practical, the principal supervisor should ensure that the expectations are communicated to the co-supervisors. Discussing supervisory issues at the outset helps to lay foundations for a good working relationship, but it may also be necessary for aspects of the supervisory relationship to be renegotiated as the student progresses. The overriding question at the back of both the supervisor and the students minds during these initial discussions will be Can I work with this person? Different viewpoints and methods of interaction and work styles may become apparent
25

during this process. It is important for each party to identify those differences and to determine whether workable solutions can be agreed and maintained. Questions you might ask your Supervisor Some of the following questions should be asked at the beginning of the project, whilst others are more appropriately tackled a little later as the issues become more relevant: What kinds of knowledge are needed and what level of ability is required for work in the project? For example, the student should be clear on the level of understanding for aspects of the research process, the style of academic writing required, the types of statistical analysis that might be involved, etc; What resources does the supervisor know of? How much help can the student expect from the supervisor and/or the University community? Development of the research proposal. What is involved? How much input can be expected from the supervisor? What are the supervisors and students responsibilities for the development of the research abilities of the student? What methods/standards of record keeping does the supervisor expect/ recommend, or what does the University have in place? Expectations of feedback. How often, how much, in what form, with how much notice? What type of feedback does the student prefer/benefit from, find helpful/unhelpful? Questions regarding the Postgraduate Research Issues to discuss may include: What does a project or a dissertation or a thesis mean? What is the appropriate structure, length, presentation? What referencing conventions should be used? What is meant by contribution to knowledge? Titles of good examples in this field? What is the difference between a pass thesis and a first class thesis? Questions regarding Meetings Issues to discuss might include: Frequency and duration of meetings; Structure of meetings; Access to the supervisor outside of scheduled meeting times? If meetings arent regularly planned, whose responsibility is it to schedule meetings? If one person cant make the meeting, what should be done? Irrespective of the arrangement agreed upon between the student and supervisors, they should aim for at least one meeting per month.

26

Questions regarding Time Frames Issues to discuss might include: rough guide to how long each stage of the research process should take to complete; What would be a realistic completion date in view of separate commitments and university policy? In this regard, completing the Proposed Work Plan document found in Appendix B becomes very important. Role of Supervisor in Research Work Submission and Examination Prior to Submission of the Thesis Comment critically on the first draft of the whole thesis. It should not take longer than three weeks for the supervisor to comment on the draft thesis; Certify that the thesis is properly presented, conforms to the regulations and is worthy of examination. After Thesis Submission Liaise with the appropriate officer of the University to ensure that the research work has been examined (including the oral defense). Ensure that any revisions required by the examiners are completed and inform the School of Graduate Studies when this has been done.

RESPONSIBILITIES ARRANGEMENT

OF

THE

STUDENT

IN

THE

SUPERVISORY

Take full responsibility for the design, methodology and presentation of your project; Pay close attention to editing of the text. This includes ensuring that the attributions, footnotes, bibliography and other technical details are accurate and complete, the language technically correct, and the argument logically clear and consistent. Students may seek assistance with the proof reading of written work to correct typographical errors and mistakes in spelling or punctuation. Where special assistance is required with editing, for instance students from non-English speaking backgrounds who require assistance with English expression, the student must acknowledge the assistance; Accept responsibility for producing the final copies of the research work. This includes the content and ensuring that it is written in accordance with all relevant requirements, including standard of presentation; Maintain progress in accordance to stages agreed with the supervisor. Submit material in sufficient time to allow for comment and discussion before proceeding to the next stage; Maintain a schedule of contact with the supervisor and the academic environment of the University; Take the initiative in raising problems or difficulties and sharing responsibility for seeking solutions; Discuss your intentions to take leave with your supervisor;
27

Make applications to change your candidature status, (e.g., academic leave) in good time; Adopt and adhere to the ethical and safe working practices relevant to the discipline. Evaluate their work for plagiarism by subjecting it to Turnitin.org and attaching the Turnitin report to the research work. Ensure that the supervisor has had time to adequately peruse the thesis before submitting a final draft for examination; Prepare five temporary bound copies of your thesis for submission to the Graduate School. Examination Process and After You must present yourself for the oral defense of your thesis You must make any amendments to your thesis within the time stipulated by the Graduate School after receiving notification of the examination results If your thesis is passed, you will submit four permanently bound copies to the Graduate School in the format stipulated in other parts of these guidelines.

PROBLEMS WITH THE SUPERVISORY RELATIONSHIP If there is a difficulty with the supervisory relationship, talk about your concerns with the supervisor. It is important to outline your difficulties or differences early on. The relationship between student and supervisor is an important one and it will not always be easy. Supervisors need at times to give comments that are difficult to take and students at times may believe it is essential that they ignore advice. Such events in themselves are to be expected but if it becomes clear that the research is not progressing satisfactorily or that the student or the supervisor continues to be dissatisfied with some aspect of the relationship then something needs to be done. The candidate and the supervisor may independently make their concerns known to the Dean of their faculty at the first instance. If a solution cannot be found, they should forward the issue to the Dean of the Graduate School. If it becomes evident that the relationship between the student and supervisor is untenable, the candidate may apply for a change in supervisor. It is important to not let too much time slip away with nothing very positive happening. Anything longer than two months may be considered too long. PROBLEMS OUTSIDE THE SUPERVISORY RELATIONSHIP Not all problems relating to your research arise from the supervisory relationship. The importance of meeting with your supervisor regularly and discussing any difficulties has been discussed. Discussing difficulties allows remedial action to be taken before problems become major. The supervisor may be able to act as a mediator or advocate for problems concerning administration or resources.

28

APPENDIX B
School of Graduate Studies

STRATHMORE UNIVERSITY

PROPOSED WORK PLAN

Draft Title of Thesis: ___________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ WORK PLAN (Use the Schedule of Important Dates in Appendix L of these guidelines to help you develop an appropriate work plan) Progress Stage Description Stage 1 2 3 4 5 6 7 8 9 10 11 12 Scoping of the Research study Choice of Research Topic Research Problem clarification, Research objectives, Purpose and Significance Foundation Literature survey Proposal of Research Methodology Advanced Literature Review (Chapter By Chapter) Detailed Proposal of Research Methodology Data Collection Data analysis and Interpretation Thesis Report writing Thesis Report Assessment By Supervisors Thesis Correction Upon Assessment By Supervisors Proposed dates

Any remarks: ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________

29

THESIS EXAMINATION PROCESS AND CLEARANCE FOR GRADUATION Step Activity Call 1 2 3 4 5 Submit thesis for Examination Thesis Examination Thesis Oral defense Correction of thesis Thesis Content confirmation and Registration for graduation Proposed Deadline Proposed Graduation Yr.*

*Note: Graduation is on the last Friday in June. A student needs to have been registered to graduate by the last week of May.

SIGNATURES AND DATES: Candidates Name Signature Date

Supervisor:

Signature

Date

Co-Supervisor (if applicable)

Signature

Date

Faculty Dean:

Signature

Date

Please forward to Dean, SGS Dean (School of Graduate Studies): Name

Signature

Date:

30

APPENDIX C
SCHOOL OF GRADUATE STUDIES
STRATHMORE UNIVERSITY

APPLICATION FOR ACADEMIC LEAVE


Other Names Student Number

Surname

Address

Email:

Phone No.

To proceed on Academic Leave from

Date

Month ..

Year ..

Reason for taking Academic Leave Work Constraints Financial Problems Medical Grounds Compassionate Grounds Others (Specify) Expected Date of Return from Academic Leave (Please note that the minimum Academic Leave Period for PhD students is one month and the maximum Academic Leave period is Two Years). Date Student Signature: Supervisor (Name) Month .. Year .. Date: Date

Signature

Authorized by Faculty Dean Signature (Name)

Date

Received: School of Graduate Studies

Signed:

Date:

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APPENDIX D
SCHOOL OF GRADUATE STUDIES

REQUEST FOR CHANGE OF SUPERVISOR


STRATHMORE UNIVERSITY

Student Name:

Student No:

Faculty/School/Institute enrolled in Title of Thesis: .. Current 1st Supervisor Name: Current 2nd Supervisor Name: Name: Proposed 1st Supervisor (Name) Signature Date: Current 3rd Supervisor (if any)

Proposed 2nd Supervisor (Name)

Signature

Date:

Proposed 3rd Supervisor (Name)

Signature

Date:

Changes to be effective from Reason(s) for proposed change:

Date:

Approved at School of Graduate Studies Committee Meeting of (Date):

Signed (Dean of Graduate Studies)

Name: Date:

Forwarded to Student

Date:

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APPENDIX E
SCHOOL OF GRADUATE STUDIES
STRATHMORE UNIVERSITY

APPLICATION FOR EXTENSION OF STUDIES


Other Names Email: Programme: Student Number Tel:

Surname Address

Commencement date of Studies: Extension to commence on: Date ..

Month . .. Year

Reason for taking the extension (supporting documentation may be required to explain why the student was not able to complete their studies within the maximum time allowed). In addition an outline of work completed against each chapter heading, and a work-plan and schedule should be attached to this form. Work Constraints Financial Problems Medical Grounds Compassionate Grounds Others (Specify) ... . . Expected date of expiry of the Extension (Please note that the Extension Period must not exceed 12 months) Date Month Year . Signature of Student Date

I Recommend/ Do Not Recommend an Extension of Study for this Candidate Faculty Dean (Name) I approve/Do Not Approve an Extension of Study for this Candidate Dean, SGS (Name)

Signature

Date

Signature

Date

33

APPENDIX F
SCHOOL OF GRADUATE STUDIES

PROGRESS REPORTING TEMPLATE


STRATHMORE UNIVERSITY

THIS FORM SHOULD BE COMPILED BY THE COORDINATOR OF THE GRADUATE STUDIES IN EACH SCHOOL

S/No. Student Name 1. 2. 3.

Student ID

Academic Intake Research Topic Status* (Year)

Supervisor

Proposal Defense

Seminar presentation

Notes

*Academic Status refers to whether the student is on-going, on academic leave, taken an extension of study, or withdrawn from the programme.

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APPENDIX G

THESIS/DISSERTATION PRESENTATION GUIDE FOR POSTGRADUATE STUDENTS


1.0 INTRODUCTION

The primary purpose of a thesis or dissertation is to train the student in the processes of scholarly research and writing under the direction of members of the Graduate Faculty. After the student has graduated and the work is published, it serves as a contribution to human knowledge, useful to other scholars and perhaps even to a more general audience. The requirements in this guide apply to all Strathmore University theses and dissertations. The general term thesis is used in this text to represent both. You have a fair amount of discretion with regard to writing style, but you must be consistent in format throughout. The work should be written in clear, grammatically correct English, with words spelled and divided correctly and punctuation standard and appropriate. Paragraphing should also be appropriately done. 1.1 The Role of the School of Graduate Studies The School of Graduate Studies is responsible for certifying that theses and dissertations have been prepared in accordance with the regulations in this guide. When a thesis is submitted to the Graduate Office, it must meet the requirements set forth here. The text should be proofread and free of grammatical errors and typos. However, the Graduate Office reviews the document for format and compliance to Graduate School requirements only. 1.2 Responsibility for the Thesis The author bears ultimate responsibility for meeting all of the Graduate School requirements. He or she must meet deadlines for review and final submission, and obtain faculty signatures. The best advice is to start early and make certain that the requirements outlined in this guide are fully met. 2.0 TECHNICAL REQUIREMENTS

2.1 Type Specifications Most important in typing a thesis or dissertation is consistency of format and adherence to the specific instructions given in this guide. The text of a thesis should be one-and-ahalf-spaced. Use a standard typeface of 11-, or 12-point size. Limit the use of italic print to foreign words, book and journal titles, and special emphasis. If you wish, you may use larger
35

size type for the title of the thesis and for chapter headings, as long as it is not larger than 18-point. Boldface type may also be used on the title page and for headings, as well as in the text, for special symbols or for emphasis. Reduced type may be used within tables, figures, and appendices. It should be at least 9-point in size and must be completely legible. It is permissible to use color in the document, but keep in mind that multiple copies will show black-and-white only. Begin each chapter on a new page. Do the same with each element of the front matter (list of tables, acknowledgments, etc.), the reference section, and each appendix. Try to avoid typing a heading near the bottom of a page unless there is room for at least three lines of text following the heading. Instead, you should simply leave a little extra space on that page and begin the heading on the next page. Do not use display pages (that is, a page that shows only the chapter title) at the beginning of chapters.
2.2 Paper International A4 (210mm x 297mm) within range 70 g/m2 to 100 g/m2. No restrictions are placed on the size of the drawings, maps or similar material, which should, however, be bound in with the thesis or placed in a wallet affixed to the inside of the back cover.

2.3 Length of Thesis In accordance with these guidelines and the subject area of study, a thesis/dissertation for a Masters degree shall not normally exceed 50,000 words. The above maximum is exclusive of footnotes, list of references, appendices, and all front matter (see 3.0 below for what constitutes front matter). 2.4 Margins A 25mm margin on all sides is acceptable, but a wider left margin (40mm) is required for binding purposes. 2.5 Typing and Formatting

Type on one side of the paper only. A spacing of 1.5 should be used in typescript except for indented quotations or footnotes, for which single spacing may be used. Font: Size 11 or 12, using a true type font such as Times, Times New Roman, Arial, Book Antiqua or Helvetica. Headings: Level 1 Headings: Font size 14, bold Level 2 Headings: Font size 12, bold (indent one place) Level 3 Headings: Font size 12, bold, italics (indent 2 places) Level 4 Headings: Font size 12, italics (indent 3 places) (if applicable)

36

2.6 Page Numbering Every page in the document, including those with tables and figures, must be numbered. Use lower case Roman numerals for the front matter and Arabic numbers for the text. The text (or body) of the thesis must begin on page 1. Do not number a page with a or b or skip numbers; do not embellish page numbers with punctuation (dashes, periods, etc.); and do not type the word page before the page number. Running headers and footers are not permitted. Page numbers should be centered at the bottom of the page. Allow a reasonable distance between the page number and any text; in no instance may the page number overlap the text. 2.7 Documentation of Sources in the Text Source citations are required in the text whenever you use a direct quotation, paraphrase another authors words, or include specific information that is not common knowledge (and is not the result of your own research reported in the thesis). The only system of source citation allowed is parenthetical author-date-page documentation. You must not use footnotes or endnotes for citations. References in the text must correspond exactly to the listing of sources at the end of the thesis. Be certain that all items are included in the bibliography or reference list, authors names are spelled consistently and correctly, and dates are the same in both the text and the reference list. Use the APA Style for referencing. 3.0 FRONT MATTER

The term front matter refers to all the pages in front of the main text of the thesis. Front matter pages are numbered with lower case Roman numerals. These pages are: Cover page (for permanent binding only, unnumbered) Title page (unnumbered) Declaration by candidate, and approval of thesis (page ii) Abstract (begins on page iii) Table of contents Lists of figures, abbreviations, maps, tables or other illustrations (each a separate list) acknowledgments dedication (optional) The sequencing of the front matter pages should be as shown above. The abstract is required in all theses and begins on page iii. The table of contents and acknowledgments are also required. Dedication is optional and should be at the end of the front matter. Chapter 1 then begins on Page 1.
37

3.1 Cover Page The cover page is the navy blue hard cover of the thesis that appears in permanent binding only. It should be written in gold, using the Title Case (that is capitalizing the first letter of each word). It should contain the title of thesis, name of student as appears in the students record, degree for which the thesis is submitted (e.g., Master of Commerce) and the year of degree conferral. The format should be as shown below On the spine a shortened title, surname and initials of candidate, the degree for which the work was submitted and the year of submission should appear. The spine should be printed in such a way as to be readable when the volume is lying flat with the front cover uppermost. SAMPLE OF MASTERS COVER PAGE

[Title]:
[Sub-Title] (if applicable)

[Name of Candidate]

Master in/of.[name of programme]

[Year]

38

3.2 Title Page The title page is the first page of the thesis appearing immediately after the cover page. It must appear as shown below. Type the title of the thesis using Title Case throughout. Use your legal name as it appears on your student record. Your name must appear in exactly the same form each time it is used in the thesis. On the date line, indicate the month and year of degree conferral, not the date of the defense or the date you submit your thesis. SAMPLE OF MASTERS TITLE PAGE

[Title]:
[Sub-Title] (if applicable)

[Name of Candidate]

Submitted in partial fulfillment of the requirements for the Degree of [Name of programme...] at Strathmore University

[Name of Faculty/School/Institute] Strathmore University Nairobi, Kenya

[Month, Year]
This thesis is available for Library use on the understanding that it is copyright material and that no quotation from the thesis may be published without proper acknowledgement.

39

3.3 Declaration and Approval Page The declaration and approval page appears immediately after the title page and should appear as below: Declaration

I declare that this work has not been previously submitted and approved for the award of a degree by this or any other University. To the best of my knowledge and belief, the thesis contains no material previously published or written by another person except where due reference is made in the thesis itself.

............................................... [Name of Candidate] ............................................... [Signature] ............................................... [Date]

Approval The thesis of [Name of Candidate] was reviewed and approved* (for examination)** by the following: Name of Supervisor Faculty Affiliation Institution

Head of School/Institute/Faculty School Name

Dean, School of Graduate Studies

40

*Signatures should be on a separate form on file in the School of Graduate Studies. There should be no signatures in the final thesis. However, there should be the signature of the supervisor on the thesis submitted for examination. **The words for examination should be deleted when the final thesis is being submitted. A separate signed approval page is found at the end of this guide titled: Certification of Final Version of Thesis form. A copy of this form is found in Appendix K of these guidelines. This form should be signed by the student and supervisor and submitted to the Graduate Office together with the four copies of the permanently bound thesis and an electronic copy of the thesis. Please note that your submission is not complete if you have not submitted the electronic thesis. As such, this form is only completed when the final thesis is being submitted. The Certification of Final Version of Thesis form is retained at the Graduate Office. The signatures on the approval page indicate that the thesis is approved as a complete and final work requiring no further alteration. This page is required for approval of the document by the Graduate Office and to recommend graduation of the candidate to the Academic Council. 3.4 Abstract Every thesis must contain an abstract. An abstract is a concise summary of the thesis, intended to inform prospective readers about its content. It usually includes a brief description of the research, the procedures or methods, and the results or conclusions. An abstract should not include internal headings, parenthetical citations of items listed in the reference section, diagrams, or other illustrations. The abstract follows the declaration/approval page and begins on page iii. The abstract should normally not exceed 500 words. 3.5 Table of Contents The Table of Contents is essentially a topic outline of the thesis. It is compiled by listing the headings in the thesis. You may choose to include first-level headings, first- and second-levels, or all levels. Keep in mind that a fairly detailed table of contents serves as a useful guide for the reader. The table of contents must appear immediately after the abstract and should list everything in the thesis, except, the table of contents itself. Be sure that the headings listed in the table of contents match word-for-word the headings in the text. Double check to be sure that correct page numbers are shown. In listing appendices, indicate the title of each appendix. 3.6 List of Figures, Tables and other Illustrations Include a list of figures (illustrations) and a list of tables if you have one or more items in these categories. Use a separate page for each list. Show the caption and page number of every figure and table in the thesis. Also include lists for abbreviations, nomenclature, maps, etc.
41

3.7 Acknowledgments An acknowledgments page is required to recognize those that the author has interacted with in the course of the research, including respondents of the research, readers, editors, copy typists, etc. It is used to express the authors professional and personal indebtedness.

3.8 Dedication (optional) Some authors include a statement of dedication as the last page of the front matter. A quotation (epigraph) may also be included in this page. The source of an epigraph is indicated below the quotation but need not be included in the list of references. 4.0 BODY OF THESIS

The body of the thesis should be divided into chapters, sections, etc as below: Chapter 1: Introduction Chapter 2: Literature Review Chapter 3: Research Methodology Chapter 4: Presentation of Research Findings Chapter 5: Discussion Chapter 6: Conclusion and Recommendations You may have up to Level 4 heading if desired. However, levels 1 to 3 are usually adequate. Ensure you number the levels correctly. Please note that depending on the work, some aspects such as literature review or findings may have more than one chapter. This is allowable. However, the overall order of the thesis should be maintained.

5.0

BACK MATTER

The back matter (or end matter) of the thesis includes the following items: list of references appendices (must come after the references) 5.1 List of References A thesis must include a list of references section listing all works which are referred to in the text. This section must appear before the appendices (if any). The APA style of referencing is to be used for all theses and dissertations.

42

5.2 Appendices Material that is pertinent but is somewhat tangential (e.g., questionnaires, interview guides, letters of introduction) or very detailed raw data, procedural explanations, etc., may be placed in an appendix. Appendices should be designated A, B, C or I, II, III. If there is only one appendix, call it simply Appendix, not Appendix A. Titles of appendices must be listed in the table of contents. The page numbering of the Appendices must be consecutive from the text of the thesis (do not number the pages A-1, A-2, etc.). 6.0 TABLES AND FIGURES

A table is a columnar arrangement of information, often numbers, organized to save space and convey relationships at a glance. A rule of thumb to use in deciding whether given materials are tables or figures is that tables can be typed, but figures must be drawn or scanned from a source. A figure is a graphic illustration such as a chart, graph, diagram, map, or photograph. 6.1 Captions and Numbering Each table and each figure in the text must have a number and caption. Number them consecutively throughout by chapter using a decimal system. For example, the first table appearing in chapter 1 will be Table 1.1, and the first table in Chapter 2 will be Table 2.1. The first figure in Chapter 1 will be Figure 1.1 and the first figure in Chapter 2 will be Figure 2.1. Each table or figure number must be followed by a caption that briefly explains it. 6.2 Placement of Tables and Figures It is best to place a table or figure immediately after the first mention of it in the text on the same page if there is room, or on the following page. Tables and/or figures MUST NOT be grouped together at the end of the chapter or thesis. Only tables or figures of peripheral importance to the text may be placed in an appendix. Tables and figures must be referred to in the text by number, for example, Table 4.1 below and not by a phrase such as the following table, or the table below. 6.3 Sources If a figure or table is taken from another source, indicate the source at the bottom right hand side of the figure or table beginning with the word: Source: The source must include the page number from which the illustration was taken. Source notes are not numbered, even if there are other numbered notes. If a figure or table is copied from its source, be sure it is large enough to be readable. 6.4 Use of footnotes Footnotes should be used sparingly in a thesis. They may only be used to explain a term of phrase, whose explanation may not fit well within the text. They must not be used for citations and referencing.
43

7.0

OVERSIZED MATERIALS

If you are having trouble fitting a table or figure within the margins, even after relaxing each margin by 0.25 inch, consult the following options and select the method you prefer. Landscape Pages Place a table or figure sideways (landscape style) on the page by rotating it 90 degrees counterclockwise from its normal position. Rotate the caption or heading also, so that all parts can be conveniently read together. The page number may be rotated with the figure if the author chooses.

Reduced Type Size Reduce the font size of the table or figure. The size should be no smaller than 9-point. Split the material In some instances (especially for tables), you may choose to split the table into two and label each table in alphabetical order. For example, Table 4.3A and Table 4.3B. Explain that the A and B represent a continuous table. Do not have tables running over two pages. Print in larger paper In some instances, a figure or map may be so large that reducing its size makes it illegible. In this instance, you may print the illustration on a larger paper, say A3 or A2, but find an appropriate way to fold and bind it with the thesis, so that a reader is able to unfold and read it.

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APPENDIX H
SCHOOL OF GRADUATE STUDIES

THESIS EXAMINATION ASSESSMENT CRITERIA AND SCORE SHEET


STRATHMORE UNIVERSITY

Name of Candidate:

Student Number:

Faculty/School/Institute: Title of Thesis

Degree:

Examiners Name:

THESIS ASSESSMENT CRITERIA AND SUMMARY OF SCORES REFER TO THE ELEMENTS OF DETAILS TO BE CHECKED OVERLEAF No.
1 2 3

Major area of assessment


Principles and procedures in scientific research

Potential score
20

Actual Score

Familiarity with research methods applied 15 within the subject discipline Ability to use published and other sources 20 critically Scientific processing of content: Justification 20 statements and conclusion Technical and linguistic editing of the thesis 15 Contribution of the study 10

4 5 6

Total Score (Scores are for Masters Degrees only. For 100 PhD use examiners comments for each case)

Signed By Examiner: _____________________________ Date: ____________________ Please forward to Dean, School of Graduate Studies Dean (School of Graduate Studies):
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Date:

DETAILED ASSESSMENT CRITERIA FOR EACH MAJOR AREA OF THESIS EXAMINATION SCORE NO ASSESSMENT FOCUS AND DETAILS Principles and procedures in scientific research (20)
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 Justification and clarity of the problem statement and research objectives Relationship between this research and other related research critically expounded. Is methodology appropriate, applicable, justifiable and properly described Provisions for variables that can influence the research outcome Reliability and validity of data collection instruments Proof that data was collected, recorded, and summarized accurately/carefully Proof of students knowledge of relevant data sources and their application Acknowledgement of inherent limitation of the research Justification of conclusions in view of data and their analysis Methods applied in gathering/analyzing data within the circumstances of the study Custom techniques selected justified and described in details Was the technique the best way to attain the research objectives Literature sources consulted directly relevant to the research Extent of literature cited being effective, up to date and authoritative Evidence of students ability to locate primary and secondary literature sources Sufficient credit given to other researchers and authors Competence to deal with literature critically/analytically (No echo/compilation) Systematic thought of content planning Justification of analyses, descriptions and explanations of phenomenon observed Justification of statements formulated by the student Scientific justification of conclusions and their substantiation by total content Content structuring: schematization, chapter planning, annexure and bibliography Acceptability of style for scientific reportage (Formal and 3rd person in nature) Appropriate, correct and consistent referencing technique Suitable readability in the consistent and correct use of terminologies Suitability of language standard relative to the level of learning Editorial completeness of the thesis: no typing errors, omissions, and language 46

Familiarity with research methods applied within the subject discipline (15)

Ability to use published and other sources critically (20)

Scientific processing of content: Justify statements and conclusion (20)


18 19 20 21

Technical and linguistic editing of the thesis (15)


22 23 24 25 26 27

Contribution of the study (10)


28 29 30 General significance of the study Generation of new knowledge Relevance to faculty/school or university

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APPENDIX J
SCHOOL OF GRADUATE STUDIES
STRATHMORE UNIVERSITY

THESIS CORRECTION FORM


Student Number:

Name of Candidate:

Faculty/School/Institute: Title of Thesis

Degree:

Summarise the types of corrections done in your thesis. (Attach a detailed report)
(1) _______________________________________________________________________________ (2) _______________________________________________________________________________ (3) _______________________________________________________________________________ (4) _______________________________________________________________________________ (5) _______________________________________________________________________________

Committee Members:
Principal Supervisor Signature: Date:

Co-Supervisor

Signature:

Date:

Internal Examiner

Signature:

Date:

Dean, School of Graduate Studies

Signature:

Date:

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APPENDIX K
SCHOOL OF GRADUATE STUDIES

CERTIFICATION OF FINAL VERSION OF THESIS


STRATHMORE UNIVERSITY

Name of Candidate Faculty/School/Institute Title of Thesis: Postal Address Expected date of Graduation:

Student Number Title of Programme:

Email:

Number of Permanently bound copies submitted: Electronic Thesis submitted: Yes No Please ensure that you show punctuation and italics exactly to ensure that your title appears correctly on your academic transcript. The title recorded here should be EXACTLY as appears on the cover page of your thesis.
Candidates signature: Date:

DECLARATION We, the undersigned, agree and certify that this is the final version of the thesis and no further alterations will be made. Candidate Signature Date
Principal Supervisor Co- Supervisor (if applicable) Dean, School of Graduate Studies Signature Signature Signature Date Date Date

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APPENDIX L SCHOOL OF GRADUATE STUDIES


STRATHMORE UNIVERSITY

SCHEDULE OF IMPORTANT DATES

As you plan your postgraduate research studies, please have the following schedule in mind. This schedule is a guide to help you organise your work plan as shown in Appendix B of these guidelines. You must, however, discuss the specifics of your individual work plan with your supervisor. ACTIVITY DUE DATE Project 1. Student is allocated a supervisor Within one month of completing course work Within 1 month Within 3 months Dissertation Within one month of completing course work Within 2 months Within 3 6 months (part time) Within 4 weeks after submission Within 4 weeks of receipt of examiners reports Within 4 8 weeks of notification of candidate Thesis Within one month of completing course work Within 3 months Within 6 months 1 year (part-time) Within 4 weeks after submission Within 4 weeks of receipt of examiners reports Within 4 8 weeks of notification of candidate

2. 3.

Research Proposal Defense Submission of thesis to Graduate School for examination Thesis examination Oral defense

4. 5.

Within 4 weeks after submission Not done

6.

Amendments to thesis Approval by Graduate School of the Candidate to Graduate Graduation*

Within 2 weeks of notification of candidate

7.

Last Week of May each year

8.

Last Friday of June each year

*Please note that you must have successfully completed all your coursework as well as the research to be eligible to graduate.
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APPENDIX 7: ANNUAL MONITORING OF TAUGHT PROGRAMMES 1 Introduction 1.1 Schools should understand the importance of monitoring on an annual basis their programmes of study, to assure themselves of their continuing quality and relevance. 1.2 Schools should consider the appropriate balance between regular monitoring and periodic review of programmes. Monitoring should consider the effectiveness of the programme in achieving its stated aims, and the success of students in attaining the intended learning outcomes. Periodically, the continuing validity of those aims and outcomes themselves should be reviewed. 1.3 In general, monitoring is an activity to be undertaken within the providing School. Review will normally be an institutional process. 1.4 The rationale for regular monitoring should therefore be self-evident. The aim of annual monitoring is for the School and the University collectively to provide a secure mechanism with which to assure themselves that a programme is meeting its aims and learning outcomes effectively. 1.5 Responsibility for monitoring of both undergraduate and graduate programmes is devolved to Schools and, for this system to work, it is important that a School is able to identify concerns, (a) that apply to a particular programme in its portfolio; (b) that are common to a number of its programmes; and to take appropriate action before the next review.

2 Monitoring Process 2.1 The University recognises that the process of annual programme monitoring is iterative, and that much of this business (both of review and amendment of programmes and modules) takes place at different times and through a variety of mechanisms during the monitoring year. Annexes 1 and 2 illustrate the way in which monitoring is envisaged to work. 2.2 While the process of programme monitoring is iterative, Schools are expected to ensure that there is at least one meeting per year of the programme team, known as the Programme Review Meeting (PRM), at which a programme report (submitted on Form 1) is
51

considered. Form 1 requires a series of simple yes/no responses and only where concerns are identified are further details required. The programme team is also invited to highlight good practice that could benefit others. A written record of the PRMs discussion must be kept. 2.3 A School will therefore document, on an annual basis, its performance in each of its programmes, both undergraduate and graduate, against a range of quality parameters:

Admissions, progression and completion data Previous monitoring report Monitoring of core (and optional) modules External examiners reports and University and School responses Any CHE/accrediting body or other external reports Consultation with employers and former students Staff evaluation Student evaluation Programme aims

See section 3 below for observations about the consideration of statistical data. 2.4 This process is instrumental in maintaining and enhancing the quality of programmes offered by Schools, but a mechanism is still required in which to audit this process within the School. This should be managed through a Programme Audit Meeting (PAM) which may, for instance, subsume a meeting of a School Teaching and Learning Committee. Student representatives, undergraduate and/or graduate as appropriate, should be present. To ensure accountability, the PAM should be overseen by a member of the School who is independent of the process of annual programme monitoring (e.g. Dean of School, Programme Co-ordinator.) 2.5 The PAM will consider the monitoring reports for all School programmes, undergraduate and graduate, using the minutes of the PRM meetings and completed programme monitoring forms (Form 1) as evidence. The PAM will wish particularly to discuss unresolved matters of concern identified in the reports, along with the action proposed to address them and the identification of the person or body responsible for resolving them. Where there is a lack of clarity, the School may wish to consider its own documentation relating to such topics as those listed under 2.3 above.
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2.6

To ensure accountability at University level, Schools should complete a separate pro forma (Form 2) which reports on unresolved issues of concern arising from the monitoring process and which they consider should be reported to the Universitys Teaching and Learning Committee.

2.7

An important aim of annual programme monitoring should be to promote enhancement of quality and to disseminate good practice, not only within the School, but also across the University. It is therefore important that programme teams and Schools consider and record good practice for all programmes and treat this issue carefully when completing Forms 1 and 2.

2.9

For Schools that operate a large number of programmes, it may be possible to treat some of them collectively for the purposes of their review and audit while, at the same time, identifying and addressing any matters of concern in individual programmes. Programmes that are similar in content and structure, but with minor variation may be treated in this way. Nonetheless, the School should complete a separate Form 1 for each programme.

2.10

The Chair of Teaching and Learning Committee will meet annually with the Deans of School to consider the completed returns (Form 2) from Schools. An overview of the years review will be prepared for the School Boards, which in turn will be able to comment to Learning and Teaching Committee.

2.11

The University will use its programme quality review (PQR) process to test the effectiveness of a Schools use of the annual monitoring process and make recommendations where it judges there to be failings. Minutes of the PRM, for instance, should be available as part of the review, and will form a major part of the evidence with which to write the self-evaluation document for PQR.

3 Statistical Data 3.1 One of the purposes of this monitoring exercise is to be able to interpret meaningful changes in the statistical data associated with each programme and to do something about them if they signal problems (or to build on strengths if they indicate successes). Monitoring should therefore aim to reveal changes that are likely to be statistically significant, or trends in that direction, rather than small, possibly random, differences from year-to-year. Statistical data should be considered analytically (e.g. have
53

numbers/percentages increased or decreased compared with previous 3 cohorts and with current University target figures). It is important that data are analysed for each stage of the programme. For undergraduate programmes, for example, particular points for discussion will include the following:

Have numbers admitted to the programme increased/decreased? Have numbers in each degree category increased/decreased? Have numbers of withdrawals and interruptions increased/decreased? Have numbers of deferrals, referrals and failure rates increased/decreased.

3.2 Monitoring should not just focus on broad questions but should also examine each programme in terms of its particular profile, its aims and learning outcomes, and those of the University in general:

How do mature students fare in terms of their progression and achievement on this programme?

How does 'input' profile compare with 'outcome' measures like degree classification and retention rates (examined in this way, data can be used to help to develop widening access and participation initiatives).

3.3 A data template (Annex 3) has been designed to enable Schools to present the relevant data in a simple and consistent format. It is hoped that use of a standard format and of graphical means of data presentation will assist Schools and the panel to answer the questions above and more readily identify patterns in the data. Schools may wish to include additional data to that included in the template. 3.4 The data template is consistent with that being used in the PQR process and therefore looks at the entry population rather than the student population as a whole. 3.5 Questions on progression data in the monitoring Form 1 directly refer to information summarised in the tables of the data template.

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ANNEX 2 ANNUAL CYCLE OF PROGRAMME MONITORING AND AUDIT School Undergraduate/graduate Teaching and Learning Committee (or equivalent) considers in its meetings throughout the annual monitoring cycle:

Entrant profiles, progression and award data, external examiners reports, and School response

Progression and retention data; most recent annual programme monitoring report Student evaluation and staff evaluation (including peer review) of 1st semester modules; progression and retention data after 1st semester examinations; monitoring of 1st semester core and option modules Student evaluation and staff evaluation of 2nd semester modules; progression and retention data after 2nd semester examinations; monitoring of 2nd semester core and option modules

Programme Review Meeting (PRM) considers:


Overview of admissions, progression and award data Overview of evaluation reports including those of former students and employers Summary of key points from monitoring of 1st and 2nd semester core and option modules Any amendments to modules and programmes; Matters of concern and/or good practice; Any matters of concern that have not or cannot be resolved.

School Programme Audit Meeting (PAM) considers:


Minutes of PRM and programme monitoring forms (Form 1) Any matters of concern that have not or cannot be resolved Good practice that the School or partner wishes to highlight Prepares a report (Form 2) to the University Teaching and Learning Committee

Dean of School submits to University Teaching and Learning Committee:


School audit report (Form 2) Associated PAM minutes

55

FORM 1 ANNUAL MONITORING OF PROGRAMMES: PROGRAMME REPORT

Programme covered in Report Programme Director(s)/Coordinators

this

Monitoring Year Summary of Monitoring Process Were there any matters of concern associated with this programme? If YES, do they remain unresolved? Are any matters of good practice highlighted? YES/NO YES/NO YES/NO

PROGRESSION DATA 1 Please answer the following questions on key features of the programmes admissions, progression and award data (Table numbers refer to annual programme monitoring data template see Annex 3)

Have admissions increased/decreased significantly over the last five years? (Tables 1,7) YES/NO Has the average KCSE score of your standard student intake changed over the previousfive cohorts? (Table 1) YES/NO Have proportions in any award category (1st, 2.i, etc; pass, distinction, etc) increased/decreased significantly over the last five years? (Tables 5,9) YES/NO Are there any differentials in attainments among sub-groups (e.g. gender, full-time, evening, exempted, scholarship)? YES/NO Have rates of withdrawal and interruption increased/decreased significantly over the last five years? (Tables 2,3,8) YES/NO Have deferrals, referrals and failure rates increased/decreased significantly over the last five years? (Schools own data) YES/NO
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Where the answer is YES to any of the first four questions, please record here any unresolved matters of concern, any action proposed and the person/body responsible for taking action.

PROGRAMME MONITORING REPORT (Not to be completed if this is the first monitoring year for the programme) 2 Please answer the following question concerned with the previous annual monitoring report

Are there any unresolved matters of concern arising from the previous annual monitoring report? YES/NO If the answer is YES, please record here the matters of concern, any action proposed and the person/body responsible for taking action.

PROGRAMME CONTENT 3 Please answer the following statements concerning the annual monitoring reports of core modules contained within this programme for the monitoring year.

Please state here if significant matters of concern have arisen from annual review of core modules YES/NO Where the response is YES to the first statement, please record here any unresolved matters of concern, any action proposed and the person/body responsible for taking action.

Describe any matters of good practice that you wish to highlight.

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EXTERNAL EVALUATION (sections 4, 5, 6) 4 Please answer the following statements concerning the external examiners reports for the monitoring year.

Please state here if there are significant matters of concern arising from the external examining process YES/NO Where the response is YES to the first statement, please record here any unresolved matters of concern, any action proposed and the person/body responsible for taking action.

Describe any matters of good practice that you wish to highlight.

Please answer the following statements concerning any CHE/accrediting body reports during the monitoring year.

Please state here if there are significant matters of concern raised by CHE/accrediting body reports YES/NO Where the response is YES to the first statement, please record here any unresolved matters of concern, any action proposed and the person/body responsible for taking action.

Describe any matters of good practice that you wish to highlight.

Please answer the following statements concerning consultation with employers and former students during the monitoring year.

Please state if consultation about the programme was carried out: With employers YES/NO
58

With former students YES/NO Where the response above is NO, please state here any plans to consult with employers and/or former students.

If your answer is YES to either of the above statements: Please state here if there are significant matters of concern raised by employees YES/NO Please state here if there are significant matters of concern raised by former students YES/NO Where the response is YES to either of the first two of the above statements, please record here any unresolved matters of concern, any action proposed and the person/body responsible for taking action.

Describe any matters of good practice that you wish to highlight.

INTERNAL EVALUATION (sections 7, 8) 7 Please answer the following statements concerning staff evaluation of this programme during the monitoring year.

Please state here if there are significant matters of concern raised by staff evaluation YES/NO Where the response is YES to the first statement, please record here any unresolved matters of concern, any action proposed and the person/body responsible for taking action.

59

Describe any matters of good practice that you wish to highlight.

Please answer the following statements concerning student evaluation of this programme during the monitoring year.

Please state here if there are significant matters of concern raised by student evaluation YES/NO Where the response is YES to the first statement, please record here any unresolved matters of concern, any action proposed and the person/body responsible for taking action.

Describe any matters of good practice that you wish to highlight.

PROGRAMME AIMS 9 Based on the responses to 1-8 state whether the programme is meeting its stated aims and whether students attained the intended learning outcomes for the monitoring year.

The programme met its stated aims YES/NO The students have attained the programmes intended learning outcomes YES/NO Where the response is NO, please record here any unresolved matters of concern, any action proposed and the person/body responsible for taking action.

PROGRAMME AMENDMENT 10 Based on the responses above, state whether the programme requires amendment in any way.

60

The programme requires amendment YES/NO If YES, have necessary amendments been submitted to the Deans Committee YES/NO Have these been approved? YES/NO

Where the response is NO to the second question, please review here key points of action and timescale.

Signed .. Date . (Programme Director(s)/Co-ordinators) Signed . Date . (Chair, Programme Audit Meeting or equivalent)

61

FORM 2 ANNUAL MONITORING OF PROGRAMMES SCHOOL AUDIT REPORT TO UNIVERSITY TEACHING AND LEARNING COMMITTEE The completed form should be returned to the University Teaching and Learning Office.

School Name and Capacity of Person Form Monitoring Year Please summarise in the following boxes the outcome of the Schools annual monitoring of its programmes of study. 1 Please list here the programmes for which no unresolved matters of concern were identified. completing

62

Please list here the programmes for which unresolved matters of concern were identified.

What issues (if any) among the unresolved matters of concern does the School wish to draw to the attention of the University Teaching and Learning Committee? Include here concerns that relate to: - University-wide issues - Major issues arising from external examiners reports - Matters of import for professional accreditation

63

Please highlight good practice that could be of benefit beyond the School. There should be sufficient details to ensure that the description is immediately informative to other readers about the nature of the good practice cited. In doing so, indicate the programme(s) concerned and a contact point for further information.

Signed . Date . (Dean of School)

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APPENDIX 8: ANNUAL REVIEW OF MODULES The Review Process a) The University requires Schools and other academic units to review on a regular basis their academic provision. b) As part of this process of review but also for sound pedagogical reasons, it is good practice for staff to evaluate on an annual basis the modules that they teach. c) Such review should use feedback from student achievement and progression, student evaluation , peer review , and where appropriate, from external examiners and professional and statutory bodies such as CHE . d) The review should consider the appropriateness of

the module's stated aims and intended learning outcomes teaching processes assessment strategies specialist and generic skills development resources provided

e) To facilitate the process of review, the adoption of a simple pro forma is suggested that addresses the issues raised above. A one-page example (which can be extended as required) is attached below. f) The annual process of review should be initiated and co-ordinated by the module coordinator, who should also sign the review form. g) The School should have in place a system to ensure that all modules are reviewed annually. h) As well as allowing those teaching a module the opportunity to evaluate its performance on an annual basis, the annual review report should be made available as follows:

The School's Teaching and Learning Committee (or equivalent) Any programme review process CHE and other external review
65

ANNUAL MODULE REVIEW TEMPLATE (Example)

Year/Semester of Review Module Code Module Title Module Coordinator Other Module Teachers Number of Students taking the Module Average Mark and Distribution of Marks/ Degree Classifications or Other Relevant Cohort Results Data

Summary of Student Evaluation of Module

66

Internal Peer Review, External Examiner and CHE Comments

Module Evaluation

Coodinators

Please comment below on aspects of the module that have worked well and on those that have fared less so. What development of the module is planned?

Please also evaluate the module against the following criteria: Do the module's stated aims and intended learning outcomes remain appropriate? YES/NO Is the module effective in meeting its stated aims and learning outcomes? YES/NO Do the chosen teaching processes remain appropriate to the intended learning outcomes? Do the assessment strategies remain appropriate to the intended learning outcomes? Is the module contributing fully to specialist and generic skills development? Is the resourcing of the module (staffing, classroom, library, laboratory, etc) adequate?
67

YES/NO

YES/NO YES/NO YES/NO

Where you have answered NO please indicate the corrective action that is planned and the time scale for it.

Comment on how last year's corrective action plan was addressed and implemented.

Signed

Date

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APPENDIX 9: MODERATION OF EXAMINATIONS INTERNAL EXAMINATION MODERATION FORM Unit Code: _______________________ Unit Name: _______________________

Moderators Name: ___________________________

Examiners Name: __________________________

Signature: ________________________

Signature: ________________________

Date: ____________________________

Date: ___________________________

Items received

Course outline Exam paper received Exam marking scheme/rubric received Exam model solution Continuous assessment test paper Previous end of semester exam paper

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Items to check in the exam paper and the marking scheme


Item Exam Paper Marking Scheme/Rubric Instructions are correct Format is correct Number correct Marks correct Marks per sub-question are correct Question numbering is correct Grammatical syntax is correct Properly typed using per question are of questions is Suggested solution

suitable application (word, excel etc)

1. Is the time allocated adequate/appropriate for the tasks given?

Moderation comments: ___________________________________ _______________________________________________________________ _______________________________________________________________ 2. Are the exam items aligned to the learning outcomes listed in the course outline? (depth)

Moderation comments: ___________________________________ _______________________________________________________________ _______________________________________________________________

70

EXM-02-08-09/09

3. Are the question statements clear and unambiguous? Do they provide adequate guidance to the examinee?

Moderation comments: ___________________________________ _______________________________________________________________ _______________________________________________________________

4. Is the examination comprehensive and appropriate, given the course content and learning outcomes? (breadth coverage and testing methods)

Moderation comments: ___________________________________ _______________________________________________________________ _______________________________________________________________

5. Does the examination attain similar standards (where applicable) when compared to examination papers for other sections of the same course? (University standards)

Moderation comments: ___________________________________ _______________________________________________________________ _______________________________________________________________

6. Is the examination appropriate for the level it is set? (cognitive skills)

Moderation comments: ___________________________________ _______________________________________________________________ _______________________________________________________________

7. Do the exam items test the various levels of knowledge, comprehension, analysis, synthesis, application, evaluation etc? (deep learning) Refer to Blooms taxonomy verbs

71

EXM-02-08-09/09

Moderation comments: ___________________________________ _______________________________________________________________ _______________________________________________________________

8. Does the model solution provide adequate detail and direction for another examiner to mark the exam? (linked to learning outcomes, understandable, clearly expressed, explicit about what is expected from students)

Moderation comments: ___________________________________ _______________________________________________________________ _______________________________________________________________

9. (a) Are the marks allocated commensurate with the expected responses?

(b) Is sufficient credit awarded to candidates effort?

Moderation comments: ___________________________________ _______________________________________________________________ _______________________________________________________________

10. Does the examination differentiate the capabilities of the students? (excellent, average and below average students)

Moderation comments: ___________________________________ _______________________________________________________________ _______________________________________________________________

11. Is there progressive assessment?

(no repeat questions from previous

examinations and all topics adequately tested either in continuous assessment tests or end of semester examination)

72

EXM-02-08-09/09

Moderation comments: ___________________________________ _______________________________________________________________ _______________________________________________________________

12. List any corrections/suggestions/comments _______________________________________________________________ _______________________________________________________________ _______________________________________________________________ _______________________________________________________________ _______________________________________________________________

Internal moderators verdict:

Examination is inadequate Examination is adequate subject to proposed corrections Examination is adequate and can be administered as it is

Action taken by examiner _______________________________________________________________ _______________________________________________________________ _______________________________________________________________ _______________________________________________________________

Approved by the Dean

Name __________________________________________________________

Signature _______________________________________________________

Date ___________________________________________________________

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EXTERNAL EXAMINATION PAPER MODERATION FORM


Unit Code: _______________________ Unit Name: _______________________

External examiners Name: ___________________________ Signature: ________________________ Date: ____________________________

Internal examiners Name: __________________________ Signature: ________________________ Date: ___________________________

Items received

University & Faculty Examination Structure Exam paper _______ Exam suggested solution Exam marking scheme/Rubric received Course outline ____________________

___

Previous end of semester exam paper ____________________ Continuous assessment test paper ____________________

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Items to check in the exam paper and the marking scheme


Item Instructions are correct Format is correct Number of questions is correct Marks per question are correct Marks per sub-question are correct Question numbering is correct Properly typed using a suitable application (word, excel etc) Exam Paper Suggested Solution Marking Scheme/Rubric

13. Is the time allocated adequate/appropriate for the tasks given?

Examiners comment(s): ___________________________________ _____________________________________________________________________ _________________________________________________________ 14. Are the exam items aligned to the learning outcomes listed in the course outline? (depth) Examiners comment(s): ___________________________________ _____________________________________________________________________ _________________________________________________________

15. Are the question statements clear and unambiguous? Do they provide adequate guidance to the examinee? Examiners comment(s): ___________________________________ _____________________________________________________________________ _________________________________________________________

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16. Is the examination comprehensive and appropriate, given the course content and learning outcomes? (breadth coverage and testing methods) Examiners comment(s): ___________________________________ _____________________________________________________________________ _________________________________________________________ 17. Does the examination attain similar standards (where applicable) when compared to examination papers for courses of the same program? (University standards) Examiners comment(s): ___________________________________ _____________________________________________________________________ _________________________________________________________ 18. Is the examination appropriate for the level it is set? (cognitive skills) Examiners comment(s): ___________________________________ _____________________________________________________________________ _________________________________________________________

19. Do the exam items test the various levels of knowledge, comprehension, analysis, synthesis, application, evaluation etc? (deep learning) Refer to Blooms taxonomy verbs Examiners comment(s): ___________________________________ _____________________________________________________________________ _________________________________________________________

20. Does the suggested solution provide adequate detail and direction for another examiner to mark the exam? (linked to learning outcomes, understandable, clearly expressed, explicit about what is expected from students) Examiners comment(s): ___________________________________ _____________________________________________________________________ _________________________________________________________ 21. (a) Are the marks allocated commensurate with the expected responses? (b) Is sufficient credit awarded to candidates effort? Examiners comment(s): ___________________________________ _____________________________________________________________________ _________________________________________________________

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22. Does the examination differentiate the academic capabilities of the students? (excellent, average and below average students) Examiners comment(s): ___________________________________ _____________________________________________________________________ _________________________________________________________ 23. Is there progressive assessment? (no repeat questions from previous examinations and all topics adequately tested either in continuous assessment tests or end of semester examination) Examiners comment(s): ___________________________________ _____________________________________________________________________ _________________________________________________________ 24. List any corrections/suggestions/comments _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _______________________________________ External examiners verdict: Examination is inadequate Examination is adequate subject to proposed corrections Examination is adequate and can be administered as it is

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Action taken by internal examiner _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________

Approved by the Dean Name __________________________________________________________ Signature _______________________________________________________ Date ___________________________________________________________

A copy received by the examination officer Name __________________________________________________________ Signature _______________________________________________________ Date ___________________________________________________________ A copy availed to the external examiner (at moderation of the marked scripts) Name __________________________________________________________ Signature _______________________________________________________ Date ___________________________________________________________

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EXTERNAL EXAMINERS REPORT FORM Name of Examiner (CAPITALS, please) ...................................... Title (Prof/Dr/etc)................................................................................

Subject(s) examined Degree(s)/Award examined.. Faculty/School/Institute ........................................................................................................ Academic Year examined ......................................................................................................................... Home Institution and/or Other Professional/Institutional Affiliation of External Examiner Date report completed Notes: 1 Each External Examiner appointed for taught programmes in the University is required to complete this report form each year, and is asked to return it to the University as soon as possible after the examination has been completed, at the latest within two weeks of completing the examination. The University takes seriously its External Examiners reports and regards them as a major contribution to its quality assurance processes. It hopes to receive constructive feedback that will assist it in maintaining and improving its programmes of study, together with examples of good practice for wider dissemination. Please complete the sections overleaf as fully as possible, paying special regard to the issues listed. Your report will be received by the Vice-Chancellor and considered by the Dean of the appropriate Faculty, School, or other Academic Unit. It will also be made available to members of panels conducting official academic audits of the School concerned, including external subject review and accreditation. An External Examiner who considers it appropriate may send an additional report to the Vice-Chancellor under separate cover marked Strictly Confidential.

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External Examiners are asked to note that reports should not include any reference to an individual candidate or member of staff by name. Please complete this form and submit it electronically to vc@strathmore.edu

______________________________________________________________________________ ____________ A. Academic Standards and Student Achievement ______________________________________________________________________________ _____________ Are the stated aims of the course(s) consistent with: (a) The structure of the course(s) YES/NO (b) The content of the course(s)? YES/NO Are the learning outcomes stated in the course outline(s) met? YES/NO Please comment in detail below if you have answered NO to any of these questions and please also report any noteworthy examples of good practice or other matters of relevance.

Is the internal assessment of what the students have achieved consistent with the expected standard of the grade/score(s) in the subject? YES/NO Did the marks awarded by internal examiners match the stated grade/score criteria? YES/NO Please comment in detail below if you have answered NO to any of these questions and please also report any noteworthy examples of good practice or other matters of relevance. ______________________________________________________________________________ _____________ B. Delivery of the Course ______________________________________________________________________________ _____________

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From your knowledge of the course(s) and its assessment: (a) Was the delivery of the course, as revealed through the assessment process, appropriate to the standard of the grade/score(s)? YES/NO (b) Were the assessment methods appropriate to the learning outcomes set for the course? YES/NO (c) Was it clear to students what they were expected to achieve in order to gain a grade/score? YES/NO (d) Was there evidence in sampled student work of student attainment of intended learning outcomes (such as knowledge and understanding, key skills, subject-specific skills)? YES/NO Please comment in detail below if you have answered NO to any of these questions and please also report any noteworthy examples of good practice or other matters of relevance. ______________________________________________________________________________ _____________ C. Processes ______________________________________________________________________________ _____________ Please answer the following questions about processes: Was the marking appropriate and consistent? YES/NO Was the use of marking schemes appropriate to the subject? YES/NO Was the use of model answers appropriate to the subject? YES/NO Were you given sufficient access to assessed academic assignments (coursework and previous examination papers)? YES/NO Were you satisfied with the level of comment on scripts and other forms of assessment provided by the internal examiners? YES/NO Was effective and appropriate use made of the moderation of assessed work? YES/NO Was the administration of the examination process, to the extent of your involvement and/or knowledge, satisfactory in the following respects: The management of draft coursework assignments and examination papers (including the time allowed for your input) YES/NO The management of completed scripts YES/NO The judgement of all elements that contributed to the final result YES/NO The time available for marking and moderation YES/NO The impartiality with which the examinations were conducted YES/NO The procedures followed by the Board(s) of Examiners YES/NO The opportunities and support you were given to exercise the function of an External Examiner YES/NO

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Please comment in detail below if you have answered NO to any of the above questions and please also report any noteworthy examples of good practice or other matters of relevance. ______________________________________________________________________________ _____________ D. General Comments ______________________________________________________________________________ _____________ Has proper consideration been given to any recommendation made by you or by the previous External Examiner in the last sessions report? Are there any issues from previous years that continue to raise concern?

General Comments (continued) Are there any aspects of the Universitys general assessment processes on which you wish to comment?

Do you have any other comments? For those Examiners in their final year of appointment, please summarise the achievements of the course(s) during your period of office and suggest any opportunities for further development.

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APPENDIX 10: PROGRAMME QUALITY REVIEW (PQR) 1. Scope and Frequency of the process 1.1 The aim of the University is to offer excellent and lifelong learning opportunities to a wide spectrum of students. We promote a learning culture that enables students to acquire integral education that encompasses a sound grasp of their chosen discipline and developing their intellectual capacities and transferable personal skills, in order that they may graduate as responsible and productive members of society. 1.2 The PQR process is managed on the basis of separate subject areas (e.g. accounting, finance, management, actuarial science, telecommunications, languages, humanities, computer science, mathematics...). Some Schools may carry responsibility for more than one subject area and will therefore be involved in more than one cycle of reviews. 1.3 All taught programmes and research student provision within a subject area will fall within the scope a review. 1.4 A subject area will be reviewed under the process every three years, according to a schedule approved by the Universitys Teaching and Learning Committee. 1.5 All reviews will attract the participation of a subject-specialist assessor external to the University. 2. Procedures

2.1

A schedule is agreed at an early stage with the subject area team for the submission of its self-appraisal, and for the date of the subsequent day for meetings between the team and the review panel.

2.2

Following the preparation of the PQR self-appraisal, review events begin with the first meeting of the panel.

2.3

Following the meeting, the panel will produce a draft report. The subject area team will have the opportunity to correct any errors of fact before being asked to prepare an action plan in response to the report. Both the report and the action plan, which will be agreed with the review chair, are submitted to the Universitys Teaching and Learning Committee.

2.4

PQR reviews will be managed by the Teaching and Learning Office.

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3. Panel

3.1

The membership of the panel will comprise: Chair nominated by Teaching and Learning Committee, generally from its members; one member of the academic staff; a student representative. All these members will be independent of the subject area.

3.2

Additionally, an external, subject-specialist assessor will be appointed to the panel by the Chair of the Learning and Teaching Committee. The assessor will be selected from a list agreed with the subject area team but will not be a serving or recent external examiner.

3.3

It is anticipated that internal panel members will have received training in the PQR process.

4. Supporting Documentation

Further details relevant to the scheme are contained in the following documents appended below.

(a)

PQR self-appraisal template as annex1: this template should be viewed as the key PQR document and should be completed in full.

(b)

Programme specification template as annex2: the self-appraisal should be supported by programme specifications for each of the programmes subject to review.

(c)

System checklist as annex3: the purpose of this document is to allow a subject area to check the elements of its system for assuring and enhancing the quality of its provision against a standard checklist. The document also serves as a list for panels to check the presence of system elements.

(d)

Panel evaluation checklist as annex4: This checklist is for use by panel members, to allow an initial assessment ahead of the meeting with the subject area team of the areas performance within specific elements of the PQR self-appraisal template.

(e)

Report template as annex5: this template provides guidance to panels on the drafting of their final report.

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ANNEX 3

PQR SELF-APPRAISAL TEMPLATE The self-appraisal should take the form of a reflection upon the quality of the educational provision, and the standards of its awards, of the programme(s) that come within the subject area under review. It should address all programmes that come within the subject area, including those operated through collaborative arrangements or at a distance, that lead to a Strathmore award. It should be cross-referred to the teaching and learning development plan of the School, or Schools, with responsibility for this programme or group of programmes.

The self-appraisal should address all of the matters set out under the nine main headings of this template; it will help the Review Panel if the paragraph numbering follows that of the template.

1. Contextual information

a) b) c)

Name of subject group that covers the programme(s) included in this review A list of the programmes included in this review (identifying the providing School(s)) A list of any collaborative provision relating to this programme or group of programmes

d)

Attach copies of the programme specification(s) for this programme or group of programmes

e)

Attach copies of programme monitoring reports for this programme or group of programmes for the period under review

f)

Attach copies of the teaching and learning plans relevant to this programme or group of programmes

g)

Attach the following statistical indicators: Student admissions; student progression; classified degree results; first career destinations

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1. Action taken in response to previous review This section is about the outcomes of previous internal processes or validation reviews during the review period, and about how these have been taken forward.

a) Summary of action taken as follow-up to the previous review of the providing School as it relates to the programme(s). b) An evaluation of the effectiveness of that action on the quality of the educational provision covered by the programme(s). c) Summary of action taken as follow-up to review of the programme(s) or to the report(s) of any external accrediting bodies as appropriate. d) An evaluation of the effectiveness of that action on the quality of the educational provision covered by the programme(s). e) Summary of action taken as follow-up to comment by Teaching and Learning Committee on the Schools teaching and learning plans as it relates to the programme(s) as appropriate. f) An evaluation of the effectiveness of that action on the quality of the educational provision covered by the programme(s).

2. Educational aims of the programme(s)

A statement of the overall aims of the programme or group of programmes. In the case of a single programme this might be taken directly from the programme specification. In the case of a group of programmes the statement of overall aims of the group might be compiled from the specifications of the individual programmes. The statement should show how the

programme(s) aims link to the Universitys educational aims.

a) How well do these overall aims match the aims of the University? b) How well do these overall aims match the research portfolios of the providing School(s)? c) Outline any proposals for change and enhancement of the overall aims, and the reasons for change.

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3. Programme learning outcomes

This section is about the intended learning outcomes of the programme(s) and their relation to internal and external reference points

a) How well do the intended learning outcomes as set out in programme specifications the knowledge and understanding, skills and attributes of graduates support the stated overall aims? Comment on any particularly strong or weak links. b) How well do the intended learning outcomes match external reference points such as subject benchmark statements, and any statutory or professional body requirements? Comment on any features that clearly exceed external requirements, or any gaps. c) How do you ensure that teachers and students have a clear understanding of the intended learning outcomes of the programme(s)? Comment on your evidence that this clear understanding is, or is not, being achieved. d) Outline any proposals for changes to the intended learning outcomes of the programme(s) and the reasons for change

4. Curricula and assessment

This section is about the ways in which programme content and methods of assessment support the intended learning outcomes of the programme(s), and how curricula and assessment together determine the academic level of the award(s) to which the programme(s) lead a) How do you monitor the content and design of the programme(s) to ensure that they make it possible for the intended learning outcomes to be achieved? Comment on the

effectiveness of such monitoring for improving the achievement of intended learning outcomes. b) How do you monitor the content and design of the programme(s) to ensure that they support academic and intellectual progression through the intended learning outcomes? Comment on the extent to which such progression is achieved, outlining any particular strengths or limitations.

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c) How do you ensure that the methods of student assessment employed by the programme(s) promote student learning? Comment on the relative roles in the programme(s) of formative and summative assessment in supporting student learning. d) How do you monitor the methods of student assessment employed by the programme(s) to ensure that they make it possible for students to demonstrate their achievement of the intended learning outcomes? Comment on the effectiveness of such monitoring at

improving the achievement of intended learning outcomes. e) How do you ensure that the methods of student assessment employed by the programme(s) make it possible to measure or classify student achievement of the intended learning outcomes? Comment on the effectiveness of such methods - for example, published criteria of assessment at reliably discriminating between different levels of performance. f) How do you monitor the content of the programme(s) and the methods of student assessment to ensure that the level of the award(s) to which the programme(s) lead satisfies the stated level of the award framework? g) How do you ensure that current developments in the subject, and in teaching and learning in the subject, are brought to bear on the content of the programme(s) and the methods of student assessment? Comment on the impact of any such developments on the delivery and assessment of the programme(s). h) If a programme, or programmes, in this group are delivered through collaborative arrangements or at a distance, are there any aspects of (a) -( g) above that present particular challenges to achieving the educational aims and intended learning outcomes? Comment on any particular successes or difficulties in meeting such challenges. i) Outline any proposals for major change to the content of the programme(s), and/or assessment methods, and the reasons for change

5. Teaching and learning

This section is about the effectiveness of the teaching and learning strategies employed by the programme(s) in providing students with good learning opportunities.

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a) How do you take an overview of the teaching, learning and assessment strategies employed within the modules that make up the programme(s) to ensure that students experience a rich and appropriate mix of learning opportunities in the programme(s) as a whole? Comment on the effectiveness of such an overview at producing any action necessary to maintain a good balance of learning opportunities. b) How do you take an overview of the teaching, learning and assessment strategies employed within the modules that make up the programme(s) to ensure that students experience a reasonable and well-distributed workload throughout the programme(s)? Comment on the effectiveness of such an overview at producing any action necessary to maintain an appropriate and balanced workload. c) How do you ensure that the quality of teaching and learning materials used within the modules that make up the programme(s) is of a suitable standard? Comment on the effectiveness of any action taken to improve any materials that fell below your criteria of suitable quality. d) How do you ensure that the modules that make up the programme(s) encourage students to be active participants in the learning process? Comment on features that you consider to be examples of good practice in gaining student engagement in active learning. e) How effectively do the teaching and learning strategies of the programme(s) address the development of students learning skills? Comment in particular on the planned development of students as independent learners, and on any features that you consider to be examples of good practice. f) How do you ensure that staff involved in these programmes have opportunities to assess their effectiveness as teachers, or as teaching teams, at providing students with good learning opportunities? Comment on the use made of peer observation and review for providing feedback from colleagues, and of feedback from students. g) How do you use the outcomes of the procedures outlined in (f) above to provide staff with opportunities for development and enhancement of teaching performance? Comment on features that you consider to be good examples of such development and enhancement. h) If a programme, or programmes, in this group are delivered through collaborative arrangements or at a distance, are there any aspects of (a)-(g) above that present particular

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challenges to achieving the educational aims and intended learning outcomes? Comment on any particular successes or difficulties in meeting such challenges. i) Outline any proposals for major change to your approach to the teaching and learning strategies for the programme(s), and the reasons for change

7. Student admission and progression

This section is about the way that you support and monitor students progression through the programme(s), from intake to completion.

a) Include here a summary of the entry profiles for the programme(s) during the review period. Comment on any trends shown by these profiles, and the impact of these trends on your approaches to teaching learning and assessment. b) How well do your recruitment procedures allow you to match the entry profile to the preferred set of student abilities and background at the start of the programme(s)? Comment on the strengths and weakness of the student intake in relation to the aims and outcomes set out in the programme(s) specification(s). c) How effective are your approaches to pre-entry guidance and post-entry induction at getting students off to a good start with the programme(s)? Comment on any particular action taken during the review period relating to widening access, promoting equality of opportunity, supporting students with disabilities or supporting students with special learning needs. d) How effective are the procedures for providing students on the programme(s) with helpful information on their academic progress? Comment on the implementation of the

procedures in respect of regularity and formality, and on student feedback on their satisfaction with these procedures. e) To what extent are the procedures for providing students on the programme(s) with guidance on their academic development (including selection of options) different from those in (d) above? Comment on the effectiveness of these procedures and on any features that you consider to represent particular good practice.

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f) To what extent are the procedures for providing students on the programme(s) with personal or mentoring support different from those in (d) and (e) above? Comment on the effectiveness of these procedures, and on any features that you consider to represent particular good practice. g) To what extent are students on the programme(s) encouraged or required to keep personal profiles of progress and achievement? Comment on the effectiveness of such profiles at supporting the procedures outlined in (a), (e) and (f) above. h) If a programme, or programmes, in this group are delivered through collaborative arrangements or at a distance, are there any aspects of (a)-(g) above that present particular challenges to achieving the educational aims and intended learning outcomes? Comment on any particular successes or difficulties in meeting such challenges. i) Outline any proposals for major change to your approaches to student admission and support, and the reasons for change

8. Learning Resources

This section is about the resources, both material resources and human resources, that support the learning of students on the programme(s).

a) How well are you able to link resource allocation at University level (eg. the business planning process) to the material resource requirements of the programme(s)? Comment on the effectiveness of the deployment of the material resources available for operating the programme(s). b) To what extent are you able to support the stated aims and intended learning outcomes of the programme(s) with library and/or IT-based learning resources available to students? c) How well are you able to prepare students on the programme for their effective use of learning resources, including those referred to in (b) above? particular on resources for independent learning. d) How well are you able to use University level processes (e.g. business plans and discussion of staffing plans) to meet the requirements of the programme(s) for Comment in

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teaching and support staff? Comment on the effectiveness of those processes for securing an appropriate staffing base for operating the programme(s). e) How effective have been the induction, monitoring and support of any staff (academic and support) who are involved with the programme(s) and who were appointed during the review period? f) How effective has been the take-up by established staff (academic and support) of professional development opportunities for improving the quality of education provided by the programme(s)? Comment on features that you consider to be good examples of such professional development. g) If the programme(s) involve part-time staff or graduate teaching assistants, apply (e) and (f) above to them. Comment on the extent to which part-time staff and graduate teaching assistants have been able to benefit from the development opportunities offered to full-time staff. h) If a programme, or programmes, in this group are delivered through collaborative arrangements or at a distance, are there any aspects of (a)-(g) above that present particular challenges to achieving the educational aims and intended learning outcomes? Comment on any particular successes or difficulties in meeting such challenges. i) Outline any proposals for development or enhancement of the learning resources available to the programme(s), including the staff resource

9. Maintenance and enhancement of standards and quality

This section draws upon annual programme monitoring reports to provide a stock take of the effectiveness of your annual procedures for maintaining and enhancing the quality of provision and the security of academic standards in respect of the programme(s). The progression and award data of the most recent annual programme monitoring report should be attached here. Include also the most recent data on first destination employment.

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a) Summarise the key features of the progression and award data during the review period, with particular reference to any trends. Comment on the effectiveness of any action taken as a result of these data or trends to enhance or improve the programme(s). b) Summarise the key features of strengths and weaknesses emerging from student evaluations during the review period of the core modules contained within the programme(s). Comment on the effectiveness of action taken to disseminate good practice and address matters of concern. c) Summarise the key features of strengths and weaknesses emerging from staff evaluations during the review period of the core modules contained within the programme(s). Comment on the effectiveness of action taken to disseminate good practice and address matters of concern. d) Summarise the key features of strengths and weaknesses emerging from the reports of external examiners during the review period for the programme(s), noting any trends. Comment on the effectiveness of action taken to disseminate good practice and address matters of concern raised in them. e) Summarise the key features of strengths and weaknesses emerging from CHE/accrediting body reports during the review period of relating to the programme(s). Comment on the effectiveness of action taken to disseminate good practice and address matters of concern raised in them. f) Summarise the key features of strengths and weaknesses emerging from evaluation of the programme(s) by former students and/or employers during the review period. Comment on the effectiveness of action taken to disseminate good practice and address matters of concern. g) Summarise the key features of strengths and weaknesses emerging from evaluation by staff and/or students during the review period for the programme(s) as a whole where this differs from (b) or (c) above. Comment on the effectiveness of action taken to disseminate good practice and address matters of concern relating to the programme(s) as a whole as opposed to the modules contained within the programme(s). h) How have you approached the analysis of the management information summarised in (a)(g) above to take a measure of the general health of the programme(s) during the review

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period? Comment in particular on the ability, and the continuing ability, of the programme(s) to deliver the stated educational aims and intended learning outcomes. i) How have you approached the analysis of the management information summarised in (a)(g) above to take a measure of the output standards of the programme(s) during the review period? Comment in particular on the ability, and the continuing ability, of the awards of the programme(s) to meet or exceed the subject benchmark standards. j) If a programme, or programmes, in this group are delivered through collaborative arrangements or at a distance, are there any aspects of (a) to (i) above that present particular challenges to the maintenance and enhancement of standards and quality? Comment on any particular successes or difficulties in meeting such challenges. k) Outline any proposals for improvement of the Schools procedures for assuring the quality of the education that it provides, and enhancing the quality of the student experience

10. Academic management of the providing School(s)

This section allows programme directors to comment upon how the academic management of the providing School(s) supports the quality and standards of the programme(s), and of the learning opportunities offered to students

While this review is about programmes, not about Schools, there are features of standards and quality in the programmes that cannot be separated from aspects of School management. Have any particular aspects of the academic management of the providing School(s) during the review period helped, or hindered the programme(s) to achieve the stated educational aims and intended learning outcomes? You may, for example, wish to comment on School policies and procedures for the management of student support including personal mentor arrangements, resources and staffing, workload allocation or space allocation as they affect the delivery of the programme(s). Where more than one School is engaged in delivery of the programme(s), comment on consistency of approach to academic management might be appropriate.

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ANNEX 4

PROGRAMME SPECIFICATION TEMPLATE

1 2 3

Awarding Institution: School(s)/Teaching Unit: Programme accredited/validated by:

4 5 6 7

Final Award(s): Programme Title: Date of Production/Revision Programme Structures and Requirements, Levels, Modules, Credits and Awards

Educational Aims of the Programme

Reference to additional information on the Schools website would be appropriate.

The following two sections offer advice on the drafting of information about programme outcomes and teaching, learning and assessment methods. Advantage may be gained from combining the two sections in the way suggested by the template that follows these sections. Schools are advised to adopt the latter approach after noting the issues raised immediately below.

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Programme Outcomes

(a) Subject knowledge and skills

(b) Core academic skills these headings link to those used in module descriptors

(c) Personal and generic skills

Not as extensive as a summary of Outcomes drawn from all the modules within the programme, but at least consistent with any such summary. It should demonstrate harmony with the subject benchmark statements, although this should happen automatically if the programme outcomes are consistent with the descriptors of the modules that contribute to the programme. (d) Confirmation of conformity with the relevant subject benchmark statement, or rationale for non-conformity

10 Teaching, Learning and Assessment Methods

Relating to (a), (b) and (c) in 9 above

This could be a largely standard set provided centrally as a default entry, but drawing attention to special features to support particular intended outcomes, for example, team skills development workshops to support particular skills achievement or IT-based approaches to learning and assessment.

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11 12

& Programme Outcomes and Teaching, Learning & Assessment Methods

On successfully completing the programme, a graduate should be able to demonstrate:

Teaching/learning strategies

methods

and

Assessment

Teaching/learning strategies

methods

and

Assessment

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Teaching/learning strategies

methods

and

Assessment

Teaching/learning strategies

methods

and

Assessment

13 Support for Students and Students Learning

To include reference to personal mentor arrangements, and recording of achievement.

14 Admission Criteria

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Prepared from current admissions data. Reference to particular features such as approaches to widening participation.

15 Regulation of Assessment and Academic Standards

Standard entry on the Universitys procedures for security of assessment and academic standards.

16 Indicators of Quality and Standards

Standard entry on other indicators, such as progression data and completion rates, that are included in the internal monitoring and review process.

17 Methods for Evaluating and Improving Quality and Standards

Standard entry on the Universitys procedures for module and programme monitoring and periodic review.

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ANNEX 5 SYSTEM CHECKLIST Although the PQR process is focused at the level of the subject or programme, some parts of the operation of the programme will be governed by systems for assuring quality and standards that work at the level of the School or other academic unit. There will therefore be some aspects of the management of quality and standards that the subject provider does not need to dwell upon at length in the self-appraisal report as long as it can be demonstrated that these aspects exist, and work effectively, as part of the Schools quality system. This system checklist identifies features of a quality assurance system that would be expected to operate at the level of the School but would apply to the level of the subject or programme. They might be expected to apply to all programmes within the School, but any variations that apply, or dont apply, to the subject under review should be explained. This system checklist is therefore intended:

o for use by subject providers in identifying the quality assurance arrangements of their School that are relevant to their PQR self-appraisal; o for use by PQR Panels in checking the quality assurance arrangements of the subject providers School.

The Status column should be completed as either Yes = the statement or supporting material is available No = the statement or supporting material is not available

N/A = the statement or supporting material is not applicable

In the Reference column, the subject provider should give a reference or index number to show where the statement or supporting material can be found in the Schools filing system.

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Section A

Academic management of the School

SYSTEM ELEMENT 1. Statement of the management structure of the School, identifying the roles of key committees and individuals with special responsibility for the management of the quality of education provided by the School 2. Statement of procedures for monitoring and reviewing the suitability of the resources available for meeting the Schools educational aims and intended learning outcomes

Status

Reference

Section B

Educational aims of the School

SYSTEM ELEMENT 1. Schools mission statement, including statements of the aims and objectives of its educational provision in relation to the Universitys mission. 2. Schools Code of Practice for teaching and learning 3. Statement of the Schools policy for linking its portfolio of taught programmes and modules to its research portfolio

Status

Reference

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Section C

Student admissions SYSTEM ELEMENT Status Reference

1.

Statement of the School's policy for equality of opportunities for applicants, including the policy for Access, students with special requirements, the assessment of prior learning and prior experiential learning

2.

Statement of the mechanism(s) within the School for ensuring that such information is useful, accurate and realistic

3.

Statement of the mechanism(s) for supplying other preentry guidance to applicants

4.

Statement of the selection process, to include the information given to staff and applicants on the selection process and selection criteria

Section D

Student assessment, classification of awards and academic standards

SYSTEM ELEMENT 1. Statement of the Schools policy for assuring the academic standards of the awards of its programmes of study. 2. Statement of the Schools mechanism for ensuring the effective implementation of its policy on academic standards, including its procedures for follow-up action on external examiners reports

Status

Reference

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Section E

Quality Assurance of Educational Provision SYSTEM ELEMENT Status Reference

1.

Statement of the Schools internal procedures for quality assurance, including responsibilities of individuals and committees for monitoring and reporting on the quality of educational provision, including that for students on placement/attachment

2.

Statement of the procedures for monitoring the implementation of the Schools Codes of Practice for teaching and learning and the supervision of research students

3.

Statement of the procedures for seeking evaluation of modules by module leaders and teams

4.

Statement of the Schools procedures for seeking evaluation of modules by students

5.

Statement of the mechanism(s) for seeking student feedback on the quality of their experience of the programme as a whole, and in relation to expectations raised by promotional/publicity material

6. Statement of the Schools procedures for seeking feedback on its programmes from graduates 7. Statement of the Schools procedures for seeking comment on its programmes from employers or other external stakeholders 8. Statement of the Schools procedures for taking an overview of evaluation of, and feedback on, its programmes from all sources

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Section F

Student Support

SYSTEM ELEMENT 1. Statement of the personal and academic support systems for students in the School including students on

Status

Reference

placement/attachment 2. Statement of the mechanism for ensuring that individual students receive regular feedback of formative and summative assessments 3. Statement of the mechanism for ensuring that the academic progress of student cohorts is monitored by course/module 4. Statement of the mechanism(s) for providing remedial support for students, when necessary, and how this is made known to students and the information given to students advising them of support through: 5. Personal mentors/subject tutors, including the procedure for requesting change of personal mentor 6. Guidance in study skills 7. Guidance in effective use of resources (e.g. Library, computers, self study resources), including those relating to placement/attachment 8. Mentoring/welfare services 9. Grievance and appeals procedures

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Section G

Staff Support

SYSTEM ELEMENT 1. Statement of the Schools policy on induction of new staff, with reference to mentors for teaching and research, and the maximum level of administrative and teaching duties during probation 2. Statement of the Schools policy on part-time teachers; their induction, training and development, and management of workload 3. Statement of the Schools policy for staff development, with reference to continuing professional development in teaching 4. Statement of the Schools policy and procedures for peer review of teaching, including how peer review informs staff appraisal

Status

Reference

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ANNEX 6 PANEL EVALUATION CHECKLIST

SECTION.

This sheet should be completed by the panel member with the lead responsibility for this section. A copy should be made available to all panel members at the start of the review meeting, and amended as necessary at the close of the meeting.

Strengths: initial proposals, to be checked against evidence at the review (identify good practice that deserves wider dissemination)

Weaknesses: initial proposals, to be checked against evidence at the review (are these weaknesses recognized in the self-appraisal or have they emerged from review?)

Quality of the self-appraisal of this section: how evaluative, self-aware, supported by evidence? (how realistic are any plans for future action proposed in the self-appraisal?)

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ANNEX7

REPORT TEMPLATE This template is for reports by the PQR panels.

a)

Outline the PQR scheme- whether this review had external subject specialist input; the membership of the Panel.

b) Contextual information taken from (a), (b) and (c) of the self-appraisal c) The Panels view of each of the topics covered in the self appraisal, with reference to:

i) ii)

the quality of the evaluation in the self-appraisal the extent to which the self-assessment is supported by the evidence available to the Panel

iii) iv)

features of strength weaknesses, distinguishing between those recognized in the self appraisal and those that did not emerge until the review

v)

the Panels endorsement, or otherwise, of any action proposed in the self-appraisal to build on strengths or address weaknesses

d) Where the review has external input from a subject specialist, each section should contain an external review, particularly against external reference points such as subject benchmarks. e) Each section should conclude with a narrative judgement of the general well-being and security of matters covered in that section. f) Summary-of matters of concern, distinguishing between those recognized in the selfappraisal and those that emerged from review. g) Summary-of identified good practice. h) Summary-of general health of the subject provision as revealed by the self-appraisal and the review, with emphasis on the external view where this is included. i) To the final report to the Teaching and Learning Committee should be added the Action Plan proposed by the subject provider for building on strengths and addressing weaknesses-with timescales.

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j)

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