Initial Assessment RS3a
SECTION 1 to be completed by the student.
1a. Student
Name: / Campus: ColeraineJordanstownMageeBelfast
Registration Number: / Faculty: Faculty of ArtsFaculty of Art, Design and the Built EnvironmentFaculty of Computing and EngineeringFaculty of Life and Health ScienceFaculty of Social SciencesUlster Business School
Mode of Study: Full-time Part-time / Source of funding: selfVCRSDELsponsorother (please specify)
Date of initial registration: / Degree Registered For: PhDMPhilPhD by Published WorksDoctor of Medicine (MD)Doctor of Education (EdD)Doctor of Management (DMan)Doctor of Nursing Science (DNSc)Doctor of Environmental Science (DEnvSc)Doctor of Medical Science (DMedSc)Doctor of Biological Science (DBiolSc)Doctor of Engineering (DEng)Doctor of Technology (DTech)Doctor of Informatics (DInf)
Title of Research Programme:
1b. Supervisory Details
Supervisor (i) / School
Supervisor (ii) / School
Supervisor (iii)/Adviser / School
1c. Initial Assessment of Progress/Training Needs
To successfully complete this process, the student is required to provide a short report (no more than 4 pages) including a statement on how the research proposal has advanced since registration and make a presentation on progress to date.
In addition to the report there should be:
a.  an outline of the practice component (if any) that will form part of the final submission
b.  reference to further development of the research as the basis of a submission of PhD
c.  a Training Needs Assessment agreed between the student and the supervisors
Candidates should note that faculties will require an oral presentation as part of the Initial Assessment.
1d. Student Signature
(date)

On completion of this section, the form and report should be forwarded to your supervisors.
SECTION 2 to be completed by the supervisors.
2a. Report by the supervisors.
Student progress on the approved research programme taking account of the summary provided by the student. Please outline the practice component (if any) that will form part of the final submission:
2b. Agreed Training Needs Assessment
The student and his/her supervisors are required to formally meet to discuss and agree the student’s training needs during the remaining period of study. (These might include presentation, project management or other transferrable skills, training in computer programmes related specifically to the research being undertaken or an appropriate Masters level module in research methods.) These should be itemized below and reviewed on a regular basis (at Confirmation of Registration and other formal progress assessments):
SECTION 3 to be completed by the chair of the assessment panel.
3a. Assessment Panel Decision
The Assessment Panel is asked to indicate YES or NO to each of the following:
·  Is the project viable?
·  Does the candidate understand the research degree process?
·  Has the candidate made sufficient early progress?
·  Has the candidate demonstrated an ability to identify relevant information sources
and to gather information effectively?
·  Has the candidate provided a statement of how the research advanced since
registration and an indication of future development?
·  Has the candidate considered in some depth his or her training needs and how
to fulfil them?
·  Has the candidate demonstrated effective presentation skills?
·  Is ethical approval likely to be required for this study?
·  Are the supervisory arrangements satisfactory? / Yes No
Please comment further on any of the above if appropriate and indicate any action to be taken
(this might include reassessment, identification of additional training or, in exceptional circumstances, continuation for MPhil only or withdrawal from the programme):
NOTE: If the recommendation is to continue for MPhil only then a timetable for completion must be provided in this section. The panel must also confirm that the student can complete in the allocated time.
Has the student made sufficient early progress? Yes No
Has the student identified an appropriate range of training requirements? Yes No
Is the practice component (if any) adequately planned and motivated to form
part of the project? Yes No
Any action required is clearly indicated above.
3b. Recommendation of the Panel
Please indicate ONE of the following options:
i.  Student to Proceed
ii.  Student to resubmit within a given time
Date for resubmission

iii.  Student to continue for MPhil
iv.  Student to Discontinue
(In exceptional circumstances only)
SUMMARY
Please provide a statement detailing the reasons for the decision and any modifications that need to be made to the work presented by the candidate. This information is required to assist the Head of Research Graduate School in making a recommendation, particularly if the panel’s recommendation is one of the options ii - iv.
I confirm that a formal oral assessment formed part of the initial assessment process.
Signature Print Name Date
Chair of Panel:

Panel Member:
Panel Member:
SECTION 4 to be completed by Head of RGS.
4a. Recommendation by Head of Research Graduate School
Do you agree with the exam panel’s recommendation? YES NO
If ‘NO’ please indicate ONE of the following options:
i.  Student to Proceed
ii.  Student to resubmit within a given time
Date for resubmission

iii.  Student to continue for MPhil
iv.  Student to Discontinue
(In exceptional circumstances only)
SUMMARY
If the recommendation is different to the exam panel’s recommendation please summarise the reason for the decision in order to assist the chair of RDC and PVC Research & Innovation in making a recommendation.
I confirm that a formal oral assessment formed part of the initial assessment process:
Signed:
Head of Research Graduate School Date

This section needs to be completed only for PhD students if the recommendation is for the student to continue as MPhil or to discontinue.

SECTION 5 to be completed by chair, RDC and PVC, Research & Innovation.
5a. Recommendation of Chair of Research Degrees Committee/PVC Research & Innovation
Do you agree with the recommendation of the Head RGS in section 4a? YES NO
If ‘NO’ please indicate ONE of the following options:
i.  Student to Proceed
ii.  Student to resubmit within a given time
Date for resubmission

iii.  Student to continue for MPhil
iv.  Student to Discontinue
(In exceptional circumstances only)
SUMMARY
If the recommendation is different to that of the Head RGS please summarise the reason for the decision.
Signed:
Chair, Research Degrees Committee Date

Approved:
PVC, Research & Innovation Date

(This form should be returned to the Research Office, Jordanstown, for research students on the Jordanstown and Belfast campuses; or to the Research office, Coleraine for research students on the Coleraine and Magee campuses.)

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RS3a – Initial Assessment