Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15

Transcription

1 Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 September 2014

2 Notes 1. All sections of this document, including the annexes and forms, are available online. The online version is the current definitive one and takes precedence in the event of any discrepancy. The regulations and associated documents are available on the Graduate School Blackboard site and at the website address below: westminster.ac.uk/doctoral-research-framework 2. These regulations are effective from 1 September Doctoral Researcher Training and Development In 2012/13 the University introduced the new Doctoral Researcher Development Programme, for first-year doctoral researchers. This programme has now been expanded to cover years one to four. 4. Professional Doctorates Professional Doctorate programmes are governed by course specific regulations, in addition to these research degree regulations. Students should ensure they also refer to the relevant course handbook for information about the taught element of their programme, including progression requirements and course administration. 2 Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1

3 Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy CONTENTS 1. Principles 4 2. Application to register for a research degree 6 3. Requirements & conditions of registration for a research degree 9 4. Collaborations The registration period Supervision Transfer of Registration from Master of Philosophy to Doctor of Philosophy Examinations general Examination procedures The candidate's responsibilities in the examination process Examiners First examination Re-examination Thesis (see also Annexe E) Review of an examination decision Review of a Decision to Withdraw a Research Degree Registration or 31 Discontinue Enrolment 17. Special Regulations for the Award of MPhil and PhD by Published Work 34 Annexes A The Graduate School Board: Terms of Reference 38 B List of the University's Research Degree Forms 41 C External Research Degree Study (ERDS) Scheme 43 D Writing-Up Fee Status 45 E Thesis Format Requirements 46 F Procedure to Address Unsatisfactory Performance 50 in Research Degree Candidates G Ethics Approval Procedure for Research Degree Candidates 56 Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1 3

4 1. Principles 1.1. The University of Westminster (hereinafter referred to as the University') shall award the degrees of Master of Philosophy (MPhil) and Doctor of Philosophy (PhD) to registered candidates who successfully complete approved programmes of supervised research The regulations governing the award of the degrees of Master of Philosophy and Doctor of Philosophy are interrelated and interdependent, and each regulation must therefore be viewed within the context of this regulatory framework. These individual regulations should be read in conjunction with the University of Westminster Code of Practice for Research Degree Programmes: September 2014 and the Guidelines for Research Students: September Programmes of research may be proposed in any field of study subject to the requirement that the proposed programme is capable of leading to scholarly research and to its presentation in a thesis for assessment by appropriate examiners within the maximum period of registration allowed (see Section 5 below) The University will admit only those candidates who are sufficiently capable, qualified and diligent to achieve a successful completion within the maximum period of registration. The scope of the project shall be such that it shall be achievable in this time by such a candidate Following admission, a research degree candidate shall maintain an adequate rate of progress in their work to ensure a timely completion. Where the rate of progress falls short of that required for a timely completion, progress will be deemed to be unsatisfactory All proposed research programmes shall be considered for research degree registration on their academic merits and without reference to the concerns or interests of any associated funding body The MPhil shall be awarded to a candidate who, having critically investigated and evaluated an approved topic and demonstrated an understanding of research methods appropriate to the chosen field, has presented and defended a thesis by oral examination to the satisfaction of the examiners The PhD shall be awarded to a candidate who, having critically investigated and evaluated an approved topic resulting in an independent and original contribution to knowledge and demonstrated an understanding of research methods appropriate to the chosen field, has presented and defended a thesis by oral examination to the satisfaction of the examiners. 4 Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1

5 1.9. The degrees of Master of Philosophy and Doctor of Philosophy shall be available only to fully enrolled students of the University of Westminster. Continuing enrolment with the University, including the fulfilment of all enrolment requirements and payment of tuition fees where appropriate, is a condition of registration for and continuing registration for a research degree. In enrolling at Westminster, research degree candidates shall confirm their willingness to abide by these regulations, the Code of Practice for Research Degree Programmes and all applicable policies and guidelines All research degree students of the University of Westminster both new and continuing shall be subject to these regulations as well as to the provisions of the Code of Practice for Research Degree Programmes, the Code of Research Good Practice, the Code of Practice Governing the Ethical Conduct of Research and the Intellectual Property Policy. Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1 5

6 2. Application to Register for a Research Degree 2.1. Applicants for research degree registration must enrol as students of the University and pay the appropriate fee before their Application to Register may be processed A student may apply to register, by completing the appropriate form (see Annexe B), for the degree of: a) Master of Philosophy (MPhil); or b) Doctor of Philosophy via transfer from Master of Philosophy (MPhil/PhD); or c) Doctor of Philosophy (PhD Direct) 2.3. Candidates for research degrees are required to submit their Application to Register, signed by the supervisors, Faculty Research Director and Dean of Faculty, to the Graduate School Registry via the Virtual Research Environment (VRE), not later than four months from the date of first enrolment for full-time students or six months for part-time students. Candidates failing to do so may be subject to University procedures for managing unsatisfactory performance in research degree students which may ultimately lead to the discontinuation of enrolment. Where a student has not registered their degree within one calendar year of initial enrolment, the University may refuse to re-enrol the student. Please refer to Annexe F for further information The University and Faculties have Research Ethics Committees which implement a Code of Practice Governing the Ethical Conduct of Research with which all members of the University, both staff and students are required to comply [available at westminster.ac.uk/research-framework]. In accordance with the Ethics Code, it is the responsibility of the supervisors and the research degree candidate to identify and to declare any ethical dimensions of the research which may be prevalent at registration or which may arise later in the registration period. Where ethical dimensions are identified and occur at the start of the study, the Application to Register shall not receive formal and final approval from the Graduate School Board (GSB) until such time as the Research Ethics Committee (or any relevant external Ethics approval body) grants ethical approval to the proposed research. Candidates should refer to the Ethics Approval Procedure for Research Degree Candidates at Annexe G to these regulations Current guidance on Intellectual Property Rights (IPR) and copyright in relation to the work of registered research degree students can be obtained from the Graduate School Registry The Application to Register must have the endorsement of the candidate s supervisors, the Faculty Research Director and the Dean of Faculty before submission for approval by the GSB - please refer to Annexe A for the Terms of Reference of the GSB. The endorsement of the candidate s supervisors may be given only where the supervisors are satisfied that the candidate s Application to Register is of the necessary quality and standard to result in a successful and timely PhD or MPhil completion. 6 Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1

7 2.7. Formalisation of the registration may only take place following approval by the GSB acting on behalf of the University. In approving an application for registration, the GSB shall satisfy itself: a) of the suitability of the candidate to undertake research; b) that the candidate is embarking on a viable research programme; c) that supervision is adequate and likely to be sustained; d) that the University is able to provide appropriate facilities and resources for the conduct of scholarly research in the area of the research programme; e) that taking into account considerations (a) (d) above, the project is capable of completion within the maximum period of registration An applicant for registration for the degree of MPhil or PhD via transfer from MPhil shall normally hold an Upper Second Class Honours degree from a UK university (or a qualification which is regarded by the GSB as equivalent to such an Honours degree, including overseas qualifications) and, preferably, a Masters degree. An applicant whose secondary-level education has not been conducted in the medium of English should also demonstrate evidence of appropriate English language proficiency, normally defined as minimum IELTS scores of 6.5 (Overall Band Score) with not less than 6 in any of the individual elements, or equivalent Research degree candidates shall be admitted to the University on the understanding that their enrolment will be on the route MPhil with possible transfer to PhD. Only in the most exceptional circumstances and on the basis of a detailed case presented to the GSB by the Director of Studies and endorsed by the Faculty Research Director prior to admission will a candidate be permitted to enrol on the route PhD Direct. Exceptional circumstances shall be defined by the University but might include the possession of a Master of Philosophy degree; evidence of substantial research or professional experience which has resulted in publications, reports or other appropriate evidence of accomplishment; or equivalent. The decision as to which route a candidate should be enrolled upon shall be the decision of the University Similarly, candidates will only be permitted to register for the degree of PhD Direct in exceptional circumstances as defined above. Any Application to the GSB for registration for PhD Direct must be supported by a detailed case presented by the Director of Studies and endorsed by the Faculty Research Director, which must clearly state the grounds upon which PhD Direct registration is sought and shall be subject to the approval of the GSB An applicant whose work forms part of a larger group project may register for a research degree. In such cases each individually registered candidate shall have a project that in itself can be distinguishable for the purposes of assessment and be appropriate for the award being sought. The Application to Register shall indicate clearly each individual contribution and its relationship to the group project. 1 For further information on the University s English Language policies for research degree students, including equivalence with testing systems other than IELTS, please refer to the Code of Practice for Research Degree Programmes. Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1 7

8 2.12. Where a research degree project is part of a piece of funded research, the GSB shall establish to its satisfaction that the terms on which the research is funded do not detract from the fulfilment of the objectives and requirements of the candidate's research degree The GSB may approve an application from a person proposing to work outside the UK, including persons enrolled under the External Research Degree Study Scheme (see Annex C) and provided that: a) there is satisfactory evidence to confirm the appropriateness of facilities available for the research both in the University and abroad; and b) the arrangements proposed for supervision enable frequent and substantial contact between the candidate and the supervisor(s) based in the UK, including adequate face-to-face contact with the supervisor(s). The candidate should normally spend an average (over the entire registration period) of two months per year at the University (or longer, where specified by the Faculty where the candidate is enrolled) Registration may be backdated by up to six months from the date of receipt of the Application to Register by the Graduate School Registry. Longer periods of backdating may be permitted exceptionally at the discretion of the GSB Where a candidate has previously undertaken research as a registered student for a research degree, the GSB may approve a shorter than usual registration period which takes account of all or part of the time already spent by the candidate on such research Where it is discovered that false information has been presented in support of an Application to Register, the application shall be declared null and void by the Academic Registrar or nominee. 8 Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1

9 3. Requirements and Conditions of Registration for a Research Degree 3.1. Within the framework of the University s research degree programmes and the Doctoral Researcher Development Programme, candidates for registration for a research degree will be required to undertake appropriate research training and development activity which shall be specified and monitored by the Director of Studies. An outline of the training and development activities will be set out in the Application to Register and reviewed through the Application to Transfer, as well as being regularly monitored through the relevant procedures including the Annual Progress Review. The purpose of training and development activities for candidates is: a) to provide the candidate with the skills and knowledge necessary for the pursuit of the proposed research; b) to provide a body of knowledge normally associated with a degree in the field of study of the proposed research; and c) to provide breadth of knowledge in the related subjects Where the programme of related studies includes an approved programme of studies leading to another award and a candidate is registered for that programme and fulfils all its requirements, he/she may be recommended for that award in addition to the degree of MPhil or PhD (see also paragraph 3.6) Subject to approval by the Graduate School Board (GSB) through the Application to Register process, a candidate may undertake a programme of research as follows: a) in which the candidate's own creative work forms, as a point of origin or reference, a significant part of the intellectual enquiry. The creative work may be in any field (for instance, fine art, design, engineering and technology, architecture, creative writing, musical composition, film, dance and performance), but shall have been undertaken as part of the registered research programme. The creative work shall be clearly presented in relation to the argument of a written thesis and set in its relevant theoretical, historical, critical or design context. The thesis itself shall conform to the usual scholarly requirements and be of an appropriate length (see paragraphs 14.4 and 14.6). The final submission shall be accompanied by a permanent record (for instance, video, photographic record, musical score, diagrammatic representation) of the creative work, where practicable, bound with the thesis. b) in which the principal focus is the preparation of a scholarly edition of a text or texts, musical or choreographic work, or other original artefacts. The final submission shall include a copy of the edited text(s) or collection of artefact(s), appropriate textual and explanatory annotations, and a substantial introduction and critical commentary which sets the text in the relevant historical, theoretical or critical context and shall conform to the usual scholarly requirements and be of an appropriate length (see Annexe E: Thesis Format Requirements). Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1 9

10 In respect of both a) and b) above, the Application to Register shall clearly set out the form of the candidate s submission and at the time of approval, the GSB shall specifically approve an appropriate assessment method for the submission Other than where exceptional permission has been given for the thesis and the oral examination to be in another language, the GSB shall satisfy itself that the candidate has sufficient command of the English language to complete satisfactorily the programme of work and to prepare and defend a thesis in English (see also paragraph 2.8). Permission to present a thesis in another language shall normally be sought at the time of application for registration. Permission to present a thesis in a language other than English shall normally be given only if the subject matter of the thesis involves extensive study in or of another language A candidate may register on a full-time or a part-time basis, depending on the chosen subject area. A full-time candidate shall normally devote, on average, at least 35 hours per week to the research; a part-time candidate on average at least 15 hours per week in a calendar year Subject to approval by the GSB, a candidate may register for another course of study concurrently with the research degree registration, provided that either the research degree registration or the other course of study is by part-time study and that, in the opinion of the GSB, the dual registration will not detract from the research (see also paragraph 3.2) As a condition of the award of the degree, a copy of the thesis will be lodged in the University library. An electronic copy will be stored in WestminsterResearch (the University s online repository), and may also be deposited in EThOS (the British Library s online thesis repository) unless an exemption is granted under Where a candidate, the University or a sponsor wishes the thesis or part of the thesis to remain confidential for a period of time after completion of the work, the approval of the GSB should be obtained before registration. Note: The GSB may approve applications for confidentiality in order to enable a patent application to be lodged or to protect commercially or politically sensitive material, but not usually to protect research leads. The maximum period of confidentiality is normally two years, but, exceptionally, a longer period may be approved. In order to prevent delays in awarding degrees, candidates and their supervisors are advised to consider possible exemption from publication at an early stage. Late applications for exemption must be made at the earliest date possible and the reasons for the delay explained. 10 Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1

11 4. Collaborations 4.1. The University shall encourage co-operation with industrial, commercial, professional or research establishments for the purposes of research leading to research degree awards. Such co-operation shall be intended: a) to encourage outward-looking and relevant research; b) to extend the candidate's own experience and perspectives of the work; c) to provide a wider range of experience and expertise to assist in the development of the project; d) to be mutually beneficial Co-operation may be formalised with one or more bodies external to the University. For the purpose of the Research Degree Regulations these shall be referred to as Collaborating Establishments. Formal collaboration shall normally involve the candidate's use of facilities and other resources, including supervision, which are provided jointly by the University and the Collaborating Establishment Except where formal collaboration is an integral part of an approved documented award for the project (for example, OST Research Council awards and Knowledge Transfer Partnerships), a candidate wishing to engage in a formal collaboration must submit a letter from the Collaborating Establishment confirming the agreed arrangements with the Application to Register for the research degree. Note: The agreed arrangements should take into account the University s open access publishing policies, which require that an electronic copy of the thesis is stored in WestminsterResearch, the University s online repository, and may also be deposited in EThOS (the British Library online thesis repository) except where provision for confidentiality has been approved (see paragraphs 3.8 and 14.6). The name(s) of the Collaborating Establishment(s) will appear on the candidate s thesis and degree certificate. Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1 11

12 5 The registration period 5.1. There is a minimum and maximum period of registration prescribed for research degrees. A candidate shall not be permitted to submit his or her thesis for examination either before the expiry of the minimum period, or after the expiry of the maximum period of registration, except with the specific permission of the Graduate School Board (GSB) as provided for in paragraphs 5.3 or The minimum and maximum periods of full-time and part-time registration shall normally be as set out below: FULL-TIME STUDY Degree Registration Minimum Period of Registration Permitted Maximum Period of Registration Permitted MPhil 18 months 36 months PhD Direct 24 months 48 months PhD via MPhil 33 months (transfer to PhD must have taken place by this point) 48 months (incl. period of MPhil/PhD registration) PART-TIME STUDY Degree Registration Minimum Period of Registration Permitted Maximum Period of Registration Permitted MPhil 30 months 60 months PhD Direct 36 months 96 months PhD via MPhil 45 months (transfer to PhD must have taken place by this point) 96 months (incl. period of MPhil/PhD registration) 5.3. Where there is evidence that the research is proceeding exceptionally well, the GSB may approve a shorter minimum period of registration. An application for such a time reduction should be submitted at the same time as the Application for Approval of Examination Arrangements (see also paragraph 9.1) Where a candidate changes from full-time to part-time study or vice versa, the minimum and maximum periods of registration given in 5.2 above will apply on a pro rata basis. Application for such a change shall be made on the appropriate form (see Annexe B) A candidate seeking a change to a registered research degree programme shall apply in writing to the GSB for approval, including evidence of new Research Ethics Committee approval where necessary Where ethical issues are identified after registration of the degree, it shall be the responsibility of the Director of Studies and the candidate to follow the procedures set out in Annexe G Ethics Approval Procedure for Research Degree Candidates. 12 Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1

13 5.7. Where the GSB establishes that a candidate is no longer actively engaged on and/or is not making progress with the research programme and/or is failing to maintain regular and frequent contact with the supervisors, it shall ensure that the University s procedures for managing unsatisfactory performance in research degree candidates are initiated, as set out in Annexe F to these regulations. In accordance with the provisions of Annexe F, such action may result in the withdrawal of the candidate's registration or the discontinuation of the candidate s enrolment or the debarring of the candidate s re-enrolment. Please see Annexe F for further details Where the candidate is prevented, by ill-health or other cause, from making progress with the research, the registration may be suspended by the GSB, upon formal application from the candidate on the appropriate form (see Annexe B), normally for not more than one year at a time The GSB will not accept the submission of a thesis following the expiry of the registration period In exceptional circumstances, the GSB may extend a candidate's period of registration, normally for not more than one calendar year at a time. A candidate seeking such an extension shall apply on the appropriate form (see Annexe B) prior to the expiry of the registration period. Only in the most exceptional circumstances will further periods of extension be permitted Where a registered candidate has discontinued the research, the withdrawal of registration shall be notified to the GSB on the appropriate form (see Annexe B) A candidate shall pay such fees as may be determined from time to time by the University Where a registered candidate is solely engaged in writing up research already completed, a writing-up fee shall be applicable in place of the University tuition fee. The regulations governing the application of writing-up fee status are contained in Annexe D. Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1 13

14 6 Supervision 6.1. By enrolling and subsequently registering the degree, a research degree candidate shall confirm their acceptance of the supervisory role, recognising both that supervision by subject experts is a fundamental and indispensable element in the research degree process and also that in the case of study for a degree solely by research it is primarily with the student that the responsibility lies for managing learning, for determining what is required and for carrying it out to the required timescales, including requirements on the student in relation to research training A research degree candidate shall have at least two and normally not more than three supervisors At least one supervisor shall have had experience of supervising candidates to the successful completion of a UK research degree (or equivalent). In the case of a PhD, one of the supervisors shall have successfully supervised at PhD level. A supervision team shall normally have had a combined experience of supervising not fewer than two candidates to successful completion. Where appropriate supervisor training has been undertaken in accordance with University policy, one completion may be deemed sufficient One supervisor shall be the Director of Studies (first supervisor) who shall normally be a member of the University and who shall be responsible for: the regular and frequent supervision of the candidate; ensuring that a formal record of supervision contact is maintained; ensuring that the candidate is supported and guided in preparation for the academic key stages; monitoring progress using the Research Supervision Log and other documentation as required; and providing an Annual Progress Report, including progress in research training and development In addition to the supervisors, an advisor or advisors may be proposed to contribute some specialised knowledge or a link with an external organisation A candidate for a research degree registered in this or other university shall normally be ineligible to act as Director of Studies for another research degree candidate but may act as a second supervisor or advisor Any proposal to alter existing approved supervision arrangements shall be made to the Graduate School Board (GSB) on the appropriate form and shall be subject to its approval (see Annexe B) In the event of a supervisor/s leaving the University s employment, the University will make every effort to establish alternative arrangements for the continuation of the student s programme at the University. Should such arrangements prove impossible to make, the University will use its best endeavours to facilitate the transfer of the candidate elsewhere. 14 Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1

15 7 Transfer of Registration from Master of Philosophy to Doctor of Philosophy 7.1. A candidate registered initially for PhD via transfer from MPhil shall apply formally to the Graduate School Board (GSB) using the appropriate form for transfer to PhD (see Annexe B) when he/she has made sufficient progress on the work to provide evidence of the development to PhD Following initial registration for MPhil/PhD the supervisors may conclude in all the circumstances that the research is not capable of successful and timely completion for submission of the award of PhD but is viable as an MPhil. In such cases they shall, with the endorsement of the Faculty Research Director, recommend to the GSB that the registration be converted to MPhil only. The candidate s agreement is not required for such a recommendation, but the supervisors shall notify the candidate in advance of taking this action. A candidate refusing to accept conversion to MPhil Only registration will be deemed to be failing to make satisfactory progress and the appropriate procedures under Annexe F of these regulations will be initiated (see also paragraph 7.13) The timing of the submission of the Application to Transfer shall be: For full-time students - not earlier than 12 months nor later than 24 months from the start date of the approved registration period for MPhil/PhD; For part-time students - not earlier than 24 months nor later than 48 months from the start date of the approved registration period for MPhil/PhD Where Transfer to PhD is not effected within the deadlines set out in 5.2 and 7.3 above, the candidate will be deemed to be making unsatisfactory progress and the procedures for addressing such performance as set out in Annexe F will normally be initiated The GSB will seek to satisfy itself that the Application to Transfer demonstrates sufficient progress in the work has been achieved and that evidence is provided of the development from MPhil to PhD. In assessing the Application to Transfer, the GSB will expect to see such progress demonstrated by evidence of the following: work already undertaken; development of focus, direction and method of research; appropriate technical skills; literature review; bibliography; statement of further work to be undertaken; details of the original contribution to knowledge, which is likely to emerge; training and development activities undertaken as required by the University s approved programme for training and development of research students. Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1 15

16 7.6. In support of the application, the candidate shall prepare for the GSB a Progress Report on the work undertaken. The Progress Report should normally contain: a) A synthesis report, up to 3000 words in length, to include an overview of the work already done by the candidate, statement of intended future work, how it will contribute to original knowledge and a time-plan to show timely completion (as stated in 7.3). The statement should also itemise the University induction, development and training activities as well as attendance at any external workshops, conferences and similar events as well as any publications made; and b) A research report. Depending on the specific requirements of the academic discipline in question, this academic/scientific report should be in the form of, for example: a preliminary thesis with relevant chapters; 2-3 draft chapters of the planned thesis; scientific papers; technical research reports, etc Before approving formal transfer from MPhil to PhD, the GSB shall be satisfied that the proposed programme provides a suitable basis for work at PhD standard which the candidate is capable of pursuing to completion in a timely fashion, defined as completion before the expiry of the registration period for PhD via MPhil (please see 5.2). As part of the assessment of the case for transfer, the candidate will normally be required to undergo a Transfer Interview with a Transfer Panel convened by their Faculty The Transfer Interview will take place before the Application to Transfer (including the Progress Report) is submitted to the GSB for approval. The Transfer Panel will be chaired by the candidate s Faculty Research Director or nominee, who shall be an appropriate member of staff, and the Transfer Interview shall be attended by the candidate, the supervisor/s and normally the assessor Where, exceptionally, the assessor is unable to be present at the Transfer Interview, an alternative process for the assessment of the transfer application may be proposed by the Faculty Research Director, for approval by the GSB The Application to Transfer shall have the endorsement of the Faculty Research Director. Where the Faculty Research Director appoints a nominee to chair the Transfer Interview, the nominee shall have delegated authority to endorse the Application to Transfer on behalf of the Faculty A candidate originally registered for the degree of MPhil only who wishes to transfer registration to PhD may apply to do so by submitting an Application to Transfer to PhD and a Progress Report, for the approval of the GSB via the procedures described in this section A candidate who is registered for the degree of PhD and who is unable to complete the approved programme of work may apply to the GSB for the registration to be changed to that for MPhil at any time prior to the submission of the thesis for examination Where, as a result of the Transfer process, it is judged that the research is not capable of successful and timely completion as a PhD (as defined in 7.7 above) the Transfer Panel 16 Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1

17 may recommend to the GSB that the registration MPhil/PhD shall be converted to MPhil only. A candidate refusing to accept conversion to MPhil Only registration following failure to transfer to PhD will be deemed to be making unsatisfactory progress and the appropriate procedures under Annexe F of these regulations will be initiated (see also regulation 7.2). Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1 17

18 8 Examinations general 8.1.The examination for the MPhil and PhD shall have two stages: firstly the submission and preliminary assessment of the thesis and secondly its defence by oral or approved alternative (see paragraph 8.3 and paragraph 12.1) examination. 8.2.A candidate whose programme of work includes as a requirement formally assessed course work leading to the degree of PhD (see paragraph 3.1) shall not be permitted to proceed to a further stage of the examination, for the degree, until the course work examiners are satisfied with the candidate's performance. The result of the assessment shall be communicated to the examiners of the thesis. 8.3.A candidate shall normally be examined orally on the programme of work and on the field of study in which the programme lies. Where, for reasons of sickness, disability or comparable valid cause, the Graduate School Board (GSB) is satisfied that a candidate would be seriously disadvantaged if required to undergo an oral examination, an alternative form of examination may be approved (referred to hereinafter as the approved alternative examination ). Such approval shall not be given on the grounds that the candidate's knowledge of the language in which the thesis is presented is inadequate. 8.4.An oral examination shall normally be held in the UK. In special cases, the GSB may give approval for the examination to take place abroad. 8.5.Supervisors may attend the oral examination with the permission of the candidate and, at the invitation of the examiners, may participate in the discussion but shall withdraw prior to the deliberations of the examiners on the outcome of the examination. 8.6.The GSB shall make a decision on the reports and recommendation(s) of the examiners in respect of the candidate. The power to confer the degree shall rest with the Academic Council, whose authority in this respect is delegated to the GSB. 8.7.The degree of MPhil or PhD may be awarded posthumously on the basis of a thesis completed by a candidate, which is ready for submission for examination. In such cases, the GSB shall seek evidence that the candidate would have been likely to have been successful had the oral examination taken place. 8.8.Where cheating or plagiarism in the preparation of the thesis is established as a result of the examination, following due process under the University s academic misconduct procedures, the degree shall not be awarded. Where misconduct is established subsequent to the examination, the GSB shall consider the matter, if necessary in consultation with the examiners, and take appropriate action, which may include the withdrawal of the award. 8.9.The GSB shall ensure that all examinations are conducted and the recommendations of the examiners are presented wholly in accordance with the University's regulations. In any instance where the GSB is made aware of a failure to comply with all the procedures of the examination process, it may declare the examination null and void and appoint new examiners. 18 Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1

19 8.10. Prior to the oral examination, the examiners shall prepare and submit to the University, independent preliminary written reports on the thesis to assist in the conduct of the oral examination (or, where no oral examination is to be held, in the preparation of the joint report) Following the oral examination, or in very exceptional circumstances where it is agreed through the preliminary reports that the oral examination should not proceed (see Regulation 12.2), a joint report shall be prepared by the examiners for submission to the University. Where examiners are unable to agree on a recommendation, they may submit separate final reports Examiners may make comments to the University in a separate report on operational, procedural or quality issues which they wish to bring to its attention. Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1 19

20 9 Examination procedures 9.1.Approximately three months prior to the proposed date of the oral examination, the Director of Studies shall propose, using the appropriate form (see Annexe B), the arrangements for the candidate's examination for the approval by the Graduate School Board (GSB). Where the submission for approval of examination arrangements is received later than three months prior to the proposed date for oral examination, the GSB may require that the proposed oral examination date be postponed. 9.2.The examination may not take place until the examination arrangements have been approved by the GSB. In special circumstances, the GSB may act directly to appoint examiners and arrange the examination of a candidate. 9.3.The Academic Registrar or nominee shall make known to the candidate the procedure to be followed for the submission of the thesis (including the number of copies to be submitted for examination) and any conditions to be satisfied before the candidate may be considered eligible for examination. The Chair of Examiners (see Section 11) shall notify the candidate, all supervisors and the examiners of the date of the oral examination. 9.4.The Academic Registrar or nominee shall send a copy of the thesis to each examiner, together with the examiner's preliminary report form (see Annexe B) and the University's Regulations, and shall ensure that the examiners are properly briefed as to their duties. 9.5.The Chair of Examiners shall ensure that all the examiners have completed and returned the preliminary reports to the University before the oral examination. 9.6.The Chair of Examiners shall ensure that the oral examination is conducted in a fair and proper manner and provide a report on the conduct of the examination to the GSB using the form provided (see Annexe B). 20 Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1

21 10 The candidate's responsibilities in the examination process Submission of a thesis shall be defined as the submission of the thesis to the University s Academic Registrar or nominee. The candidate shall ensure that the thesis is submitted before the expiry of the registration period. Failure to submit by such time without the specific permission of the Graduate School Board (GSB) may result in the withdrawal of the candidate s registration The submission of the thesis for examination shall be at the sole discretion of the candidate The candidate shall satisfy any conditions of eligibility for examination required by the GSB The candidate shall take no part in the arrangement of the examination and shall have no formal contact with the examiner(s) between the appointment of the examiners and the oral examination Candidates are required to recognise that an adequate period of time is required for the scrutiny of and initial reports on the thesis by the examiners, and should therefore submit the thesis to the Academic Registrar or nominee at least four weeks prior to the proposed date of the oral examination On submission of the thesis to the Academic Registrar or nominee, the candidate shall confirm, through the submission of a declaration form (see Annexe B), that the thesis has not been submitted for an academic award in this or any other university and that the thesis is the candidate s own work. The candidate shall not be precluded from incorporating in the thesis, covering a wider field, work which has already been submitted for a degree or comparable award, provided that it is indicated on the declaration form and also in the thesis, which work has been so incorporated The candidate shall ensure that the thesis format is in accordance with the requirements of the University's regulations, which are contained in Annexe E: Thesis Format Requirements. Theses may be submitted for examination in a permanently bound form or a temporarily bound form which is sufficiently secure to ensure that pages cannot be added or removed. The thesis shall be presented in a permanent binding of the approved type before the degree may be awarded. A thesis submitted in a temporarily bound form shall be in its final form in all respects save the binding. In such cases, the candidate shall confirm that the contents of the permanently bound thesis are identical with the version submitted for examination, except where amendments have been made to meet the requirements of the examiners. Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1 21

22 11 Examiners A candidate shall be examined by at least two and normally not more than three examiners (except where paragraphs 12.9 or 13.2 apply), of whom at least one shall be an external examiner The Board of Examiners shall include an independent Chair, who will normally be the Faculty Research Director or a senior member of staff nominated by the Faculty Research Director and approved by the Graduate School Board (GSB). The Chair of Examiners will not participate in the examination process but will be responsible for ensuring and attesting to the proper and fair conduct of the examination An internal examiner shall be defined as an examiner who is: a) a member of staff of the University but not the candidate s supervisor or advisor; b) a member of staff of the candidate's Collaborating Establishment A candidate s supervisor or advisor shall not be appointed an internal examiner Where the candidate and the internal examiner are both on the staff of the same establishment, a second external examiner shall be appointed Examiners shall be demonstrably experienced and active in research in the area of the candidate's thesis For MPhil/PhD at least one external examiner shall have substantial experience (that is, normally three or more previous examinations) of examining research degree candidates. In an examination for PhD, at least one external examiner shall normally have substantial experience of PhD examining An external examiner shall be independent both of the University and of the Collaborating Establishment and shall not have acted previously as the candidate's supervisor or advisor. An external examiner shall normally not be a supervisor of another candidate in the same department at the University. Former members of staff of the University shall normally not be approved as external examiners until three years after the termination of their employment with the University The GSB shall ensure that the same external examiner is not approved so frequently that his/her familiarity with the department might prejudice objective judgment A candidate registered for a research degree of the University of Westminster shall not normally act as an examiner The University shall determine and pay the fees and expenses of the external examiners. 22 Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1

23 12 First examination Before any oral or alternative form of examination is held, each examiner shall read and examine the thesis and submit, on the appropriate form, an independent preliminary report on it to the Chair of Examiners. In completing the preliminary report, each examiner shall consider whether the thesis provisionally satisfies the requirements of the degree (as set out in paragraphs 1.7 and 1.8) and where possible make an appropriate provisional recommendation subject to the outcome of any oral examination The examiners may determine that the candidate has not satisfied them in the examination. The examiners shall not, however, save in very exceptional circumstances make such a decision without submitting the candidate to oral examination Following the oral examination the examiners, where they are in agreement, shall submit to the Academic Registrar or nominee via the Chair and using the appropriate form (see Annexe B), a joint report and recommendation relating to the award of the degree. The Chair shall formally confirm that the examination has been conducted in a fair and proper manner and in accordance with the regulations. The preliminary reports and joint recommendation of the examiners shall together provide sufficiently detailed comments on the scope and quality of the work and shall be sufficiently consistent with each other to enable the Graduate School Board (GSB) to satisfy itself that the recommendation chosen in paragraph 12.5 below is correct Where the examiners are not in agreement, separate reports and recommendations shall be submitted. The recommendations shall be made on the appropriate form Following the completion of the examination, the examiners may recommend that: (a) the candidate be awarded the degree; (b) the candidate be awarded the degree, subject to minor amendments being made to the thesis, to be completed within a period of three months from the official notification of the outcome (see paragraph 12.7); (c) the candidate be awarded the degree subject to revision of the thesis, to be completed within a period of six months from the official notification of the outcome (see paragraph 12.7); (d) the candidate be permitted to re-submit for the degree and be re-examined, with or without an oral examination (see section 13); (e) the candidate be not awarded the degree and be not permitted to be re-examined (see paragraph 12.11); or, (f) in the case of a PhD examination, the candidate be awarded the degree of MPhil subject to the satisfactory completion of minor amendments to be completed within a period of three months from the official notification of the outcome. Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1 23

24 (g) in the case of a PhD examination, and where the thesis potentially meets the criteria for the award of MPhil, the candidate be awarded the degree of MPhil subject to revision of the thesis to be completed within a period of six months from the official notification of the outcome (see paragraph 12.7) Examiners may indicate informally their recommendation on the result of the examination to the candidate but they shall make it clear that the decision to accept their recommendation rests with the GSB In the case of outcomes 12.5 (b), (c), (f) and (g): (a) The examiners shall specify in their written reports the amendments or revision they require and how these shall be approved, whether by the internal, external or appropriate nominee (see 12.8) or combination of these; (b) If upon submission of the amended or revised thesis, the examiners are not satisfied it meets the required standard, the candidate shall be allowed a maximum of one additional period of three months to amend or revise the thesis, following which no further attempt will be permitted; (c) An extension of the time allowed for amendments or revision may exceptionally be permitted, subject to approval by the GSB The GSB is permitted in exceptional circumstances and with the specific approval of the Vice-Chancellor, to appoint an appropriate individual other than the internal or external examiner to supervise 2 a candidate s corrections to a thesis (see paragraph 12.7.(a) and 12.7.(b) above). Exceptionally, such an appointment may be made through Chair s Action Where the examiners' recommendations are not unanimous, the GSB may: a) accept a majority recommendation (provided that the majority recommendation includes at least one external examiner); b) accept the recommendation of the external examiner; or c) require the appointment of an additional external examiner. Where an additional external examiner is appointed under sub-paragraph 12.9.(c), he/she shall prepare an independent preliminary report on the basis of the thesis and, if considered necessary, may conduct a further oral examination. That examiner should not be informed of the recommendations of the other examiners. On receipt of the report from the additional examiner, the GSB shall complete the examination as set out in Section 8. 2 In the context of Regulation 12.8, supervise means review for the purposes of approving the conformity of the corrections with the stated requirements of the examiners 24 Regulations for the Award of the Degrees of Master of Philosophy and Doctor of Philosophy 2014/15 v1