FRAMEWORK AND REGULATIONS FOR THE AWARD OF HIGHER DEGREES BY RESEARCH Academic Year

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1 FRAMEWORK AND REGULATIONS FOR THE AWARD OF HIGHER DEGREES BY RESEARCH Academic Year

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3 CONTENTS Page A GENERAL FRAMEWORK A - 1 A.1 A General Framework for Research Degrees: MPhil, PhD, A - 1 M.Prof, D.Prof. A.1 B Postgraduate Descriptors for M and D levels A 4 A.2 Registration A - 8 A.3 Transfer or Progression A - 8 A.4 Examination A - 9 A.5 Thesis A - 10 A.6 Awards of MPhil and PhD by Completed Work A - 10 A.7 Review of Assessment Decision A 10 B RESEARCH DEGREES REGULATIONS B.1.1 Registration and Entry Qualifications B 1 i) Qualifications Offered B - 1 ii) Registration Criteria B - 1 iii) Entry Qualifications B - 2 iv) Group Projects B - 2 v) Students Working Overseas B - 3 vi) Registration deadlines and backdating B - 3 vii) Advanced Standing Registration B - 3 viii) Review B 3 B.1.2 Initial Registration B - 4 i) Research Methods Training B - 4 ii) Training Needs Analysis B - 4 iii) Pre-requisite for Progression B - 4 iv) Integrated Programmes of Work B 4 v) Relationship of award-bearing training to the research B - 5 degree vi) Prior Experiential Learning B - 5 vii) Concurrent Registration B - 5 viii) Creative Work B - 5 ix) Scholarly Editions B - 6 x) Portfolio of Professional Work B - 6 xi) Language of Thesis and Oral B - 6 xii) Research Effort B - 7 xiii) Confidentiality Agreements B - 7 i

4 B.1.3 Research Ethics B 8 i) Personal Responsibility B - 8 ii) Research Ethics Committees, Policy & Guidelines B - 8 iii) Ethical Clearance B - 8 iv) Ethical Clearance for Changes to Research Programmes B 8 B.1.4 The Registration Period B 9 i) Minimum and Maximum Registration Periods B 9 ii) Expected Completions B - 9 iii) Accelerated Registration Periods. B - 9 iv) Effects on Registration Periods of Changes of Mode of B - 9 Study v) Changes to Registered Programmes B - 10 vi) Monitoring and Review B - 10 vii) Suspension of Registration B - 10 viii) Extension of Registration B - 11 ix) Withdrawal of Registration B - 11 x) Enrolment and Re-enrolment B 12 B.1.5 Academic misconduct suspected B - 12 B.1.6 Intellectual Property Rights B - 13 B.2 SUPERVISION B - 13 i) Number of Supervisors B - 13 ii) Supervisory Experience B - 13 iii) Research Supervisor Training B - 13 iv) Director of Studies B - 13 v) Additional Advisers B - 14 vi) Supervisors Registered for Research Degrees B - 14 vii) Change of Supervisory Arrangements B - 14 ii

5 B.3 PROGRESSION B -15 B.3.1 Transfer Procedures B -15 B.3.2 Progression Boards B - 15 i) Progression Application B - 15 ii) Length of Progression Reports B - 15 iii) Progression Criteria, Independent Assessment B - 16 iv) Assessment B - 16 v) The Progression Board B 17 vi) Non-unanimous Recommendations B 17 vii) Appointment of Additional External Assessor B - 17 viii) Decisions, Outcomes, and Feedback B 18 ix) Ethical Considerations B - 18 x) Submission at Masters level by candidates registered at B - 18 Doctoral level xi) Non-approval of Progression B - 18 B.4 EXAMINATION B - 19 B.4.1 Examinations General B - 19 i) Stages of examination B - 19 ii) Taught Elements B - 19 iii) Exemptions form Oral or arrangement of Alternative B - 19 Examination iv) Location and Language of Oral B - 20 v) Non-Examiners permitted at Oral B - 20 vi) Appointment of Independent Non-Examining Chairs B - 20 vii) Aegrotat Awards B 20 viii) Posthumous Awards B - 21 ix) Ratification of Examiners Recommendations B - 21 x) Cheating or Plagiarism suspected in the thesis B - 21 xi) Conduct of Examinations B 21 B.4.2 Examination Procedures B - 22 i) Nomination of Examination Team B - 22 ii) Students under Suspended Registration B - 22 iii) Notifications to Candidate of Procedures B - 22 iv) Notifications of Date of Oral Examination B - 22 v) Circulation of Theses to Examiners B - 22 iii

6 B.4.3 The Candidate's Responsibilities in the Examination Process B - 23 i) Submission prior to Expiry of Registration B - 23 ii) Conditions of Eligibility B - 23 iii) Examination Arrangements B - 23 iv) Candidate s Discretion in Submission B - 23 v) Submission Declaration B - 23 vi) Thesis format B - 24 vii) Binding Costs B - 24 viii) Dyslexia B - 24 B.4.4 Examiners B - 24 i) Composition of Examination Team B - 24 ii) Definition of Internal Examiner B - 25 iii) Examination of Staff Candidates B - 25 iv) Definition of External Examiner B - 25 v) Experience of Examiners B - 25 vi) Ineligibility of Research Students to Examine B - 26 vii) External Examiners Fees & Expenses B 26 B.4.5 First Examination B -26 i) Examiners Confidential Independent Preliminary Reports B - 26 ii) Examiners Final Reports on First Examination B - 26 iii) Examiners Recommendations B - 27 iv) Amendments B - 27 v) Non-unanimous Recommendations B 28 vi) Appointment of Additional External Examiner B - 28 vii) Examinations additional to the Oral B - 28 viii) Referral prior to Oral B - 28 ix) Notification of deficiencies in Thesis B - 29 x) Feedback to Candidates B 29 B.4.6 Re-examination B - 29 i) Criteria and Deadlines B - 29 ii) Appointment of Additional External Examiner for B - 30 Re-Examination iii) Forms of Re-Examination B -30 iv) Examiners Confidential Independent Preliminary Reports B - 31 on Re-Examination iv

7 v) Examiners Final Report on Re-Examination B - 31 vi) Examiners Recommendations following Re-Examination B - 31 vii) Amendments following Re-Examination B - 32 viii) Non-unanimous Recommendations following Re-Examination B - 32 ix) Appointment of additional External Examiner following B - 33 Re-Examination x) Examinations additional to the Oral Examination B - 33 xi) Recommendation for Failure without oral Re-Examination B - 33 xii) Notification of Deficiencies of the thesis following B - 33 Re-Examination xiii) Feedback to Candidates B 33 B.4.7 Candidate s Temporary Absence from Viva B - 34 i) Permission for temporary absence B - 34 ii) Candidate Accompanied B - 34 iii) Time limit for temporary absence B - 34 iv) Circumstances for Temporary absence B - 34 v) Recommencement of the viva B - 35 vi) Failure to return to the viva B - 35 vii) Rearrangement of the viva B - 36 viii) Reporting of incidents B 36 B.5 THESIS REQUIREMENTS B -37 B.5.1 i) Language of Thesis and Oral B 37 ii) Abstracts B - 37 iii) Statement on objectives, sources and assistance B - 37 iv) Assistance and Proof Reading B - 37 v) The Role of Proof Readers B - 37 vi) Collaborative Work B - 38 vii) Pre-Publication of Work B - 38 viii) Thesis Length B - 38 ix) Copies of Thesis for Examination B - 39 x) Format of Thesis B - 39 xi) Binding of Thesis submitted for Examination B - 40 xii) Final Thesis Copies B - 40 xiii) Format and binding of final printed hard copy of thesis B - 41 xiv) Confidentiality Agreement B - 42 v

8 xv) Specimen Title Page B - 43 B.6 AWARD OF MPhil or PhD BY COMPLETED WORK B - 44 i) Entry Qualifications B - 44 ii) Prima Facie Case B - 44 iii) Appointment of Adviser B - 44 iv) Deadline for Submission B - 44 v) Content of Submission B - 45 vi) Format of Submission B - 45 vii) Joint Authorship B - 45 viii) Academic Standards B - 45 ix) Assessment of Submission B - 46 B.7 ASSESSMENT REVIEW B Constitutional Basis B Constitution of Assessment Board B Grounds for Review B Publication of Results B Submitting an Application for Review B Advice and Guidance B The Informal Process B The Formal Process B Assessment Review Meeting B The Assessment Review Committee B Expenses B Procedures following decision of Assessment Review Committee B Exceptional Procedures B Monitoring and Evaluation B - 65 vi

9 for regulations on academic misconduct in research degrees see separate document Regulations Relating to Research Misconduct on Research Degree Programmes vii

10 RESEARCH DEGREES A.1 A GENERAL FRAMEWORK 1.1 All awards The University shall award the degrees of Master of Philosophy (MPhil), Doctor of Philosophy (PhD), Master in Professional Studies (M.Prof) and Doctor in Professional Studies (D.Prof) to registered candidates who have successfully completed approved programmes of supervised research. 1.2 Masters Level [See also A.1 B] i) The degree of MPhil or M.Prof shall be awarded to a candidate who, having critically investigated and evaluated an approved topic, has demonstrated an understanding of research methods appropriate to the chosen field, and has presented and defended a thesis in oral examination to the satisfaction of the examiners. In the case of the M.Prof, the work will be based upon, for example, a portfolio of reports and briefings, and / or investigative or creative work in the candidate's area of professional practice, which will form part of the material to be examined. The candidate must present and defend the thesis in oral examination to the satisfaction of examiners, the conduct of which will be in accordance with the regulations for the award of MPhil. In the case of M.Prof, the format of the thesis may differ according to the requirements of the area of professional practice in question. ii) The degree of MPhil by Completed Work shall be awarded to a candidate who is a staff member of Teesside University at the time of a prima facie case being made for application, whose previously completed submitted work has demonstrated an understanding of research methods appropriate to the overall theme, to the satisfaction of the examiners, and an assessment of its context in relation to the developing state of the art in the subject concerned. The candidate must present and defend the thesis in oral examination to the satisfaction of examiners, the conduct of which will be in accordance with the regulations for the award of MPhil. A 1

11 1.3 Doctorate Level [See also A.1 B] i) The degree of 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, has demonstrated an understanding of research methods appropriate to the chosen field, and has presented and defended a thesis in oral examination to the satisfaction of the examiners. ii) The degree of D.Prof shall be awarded to a candidate who has successfully completed an approved programme of study which will be based upon, for example, a portfolio of reports and briefings, and/or investigative and creative work, which will form part of the material to be examined, culminating in the submission of an individual thesis, and if appropriate, other media formats. The outcome of the programme must represent an independent and original contribution to knowledge in the area of professional practice in question and must be of an equivalent standard to that required of a candidate for the award of PhD. The work must be communicable, and the method open to rigorous critique. The candidate must present and defend the thesis in oral examination to the satisfaction of examiners, the conduct of which will be in accordance with the regulations for the award of PhD. The format of the thesis may differ according to the requirements of the area of professional practice in question. iii) The degree of PhD by Completed Work shall be awarded to a candidate who is a staff member of Teesside University at the time of a prima facie case being made for application, whose submitted work has demonstrated an independent and original contribution to knowledge, to the satisfaction of the examiners and an understanding of the research methodology employed in its creation, and assessment of its context in relation to the developing state of the art in the subject concerned. The candidate must present and defend the thesis in oral examination to the satisfaction of examiners, the conduct of which will be in accordance with the regulations for the award of PhD. A 2

12 1.4 The University shall encourage co-operation with industrial, commercial, professional or research establishments for the purposes of research leading to research degree awards. Such cooperation shall be intended: (i) (ii) (iii) (iv) (v) to encourage outward-looking and relevant research; to extend the candidate s own experience and expertise and perspectives of the work; to provide a wider range of experience and expertise to assist in the development of the project; to be mutually beneficial; where appropriate, to enable the candidate to become a member of a research community. 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. In such cases, a formal letter from the Collaborating Establishment confirming the agreed arrangements should be submitted with the application, except where collaboration is an integral part of the project (as, for instance, with EPSRC/NERC CASE awards). The name(s) of the Collaborating Establishment(s) shall appear on the candidate s thesis and degree certificate. 1.5 Except in exceptional circumstances, all applicants for the award of M.Prof, or D.Prof must have the written support of their employer in order to undertake the programme, and reasons must be given for not supplying a letter of support. 1.6 Aegrotat Awards The following Aegrotat awards may be conferred in accordance with Regulations B.4.1 vii): Aegrotat MPhil Aegrotat M.Prof Aegrotat PhD Aegrotat D.Prof A 3

13 A.1 B Postgraduate Descriptors for M and D level work In framing their programmes of work, candidates and their supervisory teams will give consideration to the following M and D level descriptors of the outcomes of study as developed from the QAA Framework for Higher Education Qualifications in England, Wales and Northern Ireland, Masters Level M.1 Knowledge and Understanding a) Demonstrate a comprehensive and critical understanding of techniques/ methodologies appropriate to their own research or advanced scholarship. b) Demonstrate originality in the creation and application of knowledge, together with a practical understanding of how established techniques of research and enquiry are used to create and interpret knowledge in the discipline. c) Demonstrate a systematic and critical understanding of the breadth and depth of knowledge in the discipline and a critical awareness of current problems and/or new insights, much of which is aimed at, or informed by, the forefront of their academic discipline or area of professional practice. d) Has the awareness and ability to managed the implications of ethical dilemmas and work proactively with others to formulate solutions. M.2 Cognitive and Intellectual Skills e) Able to integrate and synthesise diverse knowledge, evidence, concepts, theory and practice to promote understanding and/or good practice and solve foreseen and unforeseen problems. b) Able to make argued conclusions on the basis of incomplete and/or contested data. c) Able to challenge orthodoxy and formulate new/alternative hypotheses or solutions. M.3 Practical/Professional Skills Practical and professional skills are subject specific and descriptors should be developed by School or Programme Teams with reference to appropriate subject benchmarks and the requirements of relevant professional bodies. 1 A 4

14 The general descriptors below reflect the increasing complexity of context within which the skills are applied and the increased level of autonomy with which the skills are used. They also highlight the importance of the ethical and legal framework of the particular discipline or profession. These factors should be clearly reflected in the subject specific Practical/Professional Skills developed by School or Programme Teams. a) Application of Skills Can operate ethically in complex and unpredictable, possibly specialised, situations and has a critical understanding of the issues governing good practice. b) Autonomy in Skill Use Act autonomously in planning and implementing tasks at a professional or equivalent level. M.4 Key Transferable Skills a) Plan & Manage Own Learning Demonstrate the independent learning ability required for continuing professional development. b) Communication Skills Communicate complex academic or professional issues clearly to specialist and non-specialist audiences. c) Numeracy Skills Competent in the numeracy skills commensurate with the demands of research and scholarship in the academic / professional context. d) IT Skills Competent in the IT skills commensurate with the demands of research and scholarship in the academic / professional context. e) Work With Others Collaborate effectively with others in ways appropriate to the professional/academic context. A 5

15 Doctorate Level D.1 Knowledge and Understanding a) Demonstrate a detailed and critical understanding of applicable techniques for research and advanced academic enquiry. b) Demonstrate a systematic acquisition and understanding and analysis of a substantial body of knowledge which is at the forefront of an academic discipline or area of professional practice. c) Create and interpret new knowledge through original research or other advanced scholarship of a quality to satisfy peer review, extend the frontier of the discipline and merit publication. d) Can analyse and manage the implications of ethical dilemmas and work pro-actively with others to formulate solutions. D.2 Cognitive and Intellectual Skills a) Able to conceptualise, design and implement a project for the generation of new knowledge, applications or understanding at the forefront of the discipline, and to adjust the project design in the light of unforeseen problems. b) Able to make informed judgements on complex issues in specialist fields, often in the absence of complete data. c) Continue to undertake pure and/or applied research and development at an advanced level, contributing significantly to the development of new techniques, ideas or approaches. D.3 Practical/Professional Skills Practical and professional skills are subject specific and descriptors should be developed by School or Programme Teams with reference to appropriate subject benchmarks and the requirements of relevant professional bodies. The general descriptors below reflect the increasing complexity of context within which the skills are applied and the increased level of autonomy with which the skills are used. They also highlight the importance of the ethical and legal framework of the particular discipline or profession. These factors should be clearly reflected in the subject specific Practical/Professional Skills developed by School or Programme Teams. A 6

16 a) Application of Skills Can operate ethically in complex and unpredictable / specialised situations at the frontier of knowledge and professional practice and has a critical understanding of the issues governing good practice. b) Autonomy in Skill Use Act autonomously and with initiative in complex and unpredictable situations. D.4 Key Transferable Skills a) Plan & Manage Own Learning Demonstrate the independent learning ability required for continuing professional development. b) Communication Skills Communicate complex academic or professional issues and their own ideas and conclusions clearly and effectively to specialist and non-specialist audiences. c) Numeracy Skills Competent in the numeracy skills commensurate with the demands of research and scholarship in the academic / professional context. d) IT Skills Competent in the IT skills commensurate with the demands of research and scholarship in the academic / professional context. e) Work With Others Collaborate effectively with others in ways appropriate to the professional/academic context. A 7

17 A.2 Registration (See section B.1) 2.1 For entry on or after 1 September 2012, Registration takes place concurrently with first enrolment. For entry between 1 September 2007 and 31 August 2012, Regulations dated Academic Year apply. For entry prior to 1 September 2007, Regulations Edition 13 September 2007 apply. 2.2 Registration may only take place with the approval of the University Research Degrees Sub-Committee, acting on behalf of the University, in relation to the following: (i) (ii) the suitability of the candidate to undertake research; and the programme of research; and (iii) the supervision arrangements and research facilities. (Since this approval requires appropriate academic judgement to be brought to bear on the viability of each research proposal, the Sub-Committee shall be composed of persons who are, or have recently been, engaged in research and who have appropriate experience of successful supervision of research degrees.) 2.3 First consideration of applications is undertaken by a review panel convened as a sub-group of, and reporting to, the University Research Degrees Sub-Committee which has authority to approve all aspects of research degree Registration. 2.4 All candidates must have at least two approved supervisors, including a Director of Studies with responsibility for regular and frequent supervision. (See Research Degrees Regulations section B.2). A.3 Transfer or Progression (See Research Degrees Regulations section B.3) 3.1 Transfer For students who initially registered prior to 1 September 2007 Regulations dated 1 September 2007 apply. A 8

18 3.2 Progression For students who initially registered between 1 September 2007 and 31 August 2012, Regulations dated Academic Year apply. Students who initially registered on or after 1 September 2012 must undertake a Progression exercise towards the end of year 1 of study to confirm whether they continue on MPhil, PhD, MProf or DProf programme. A.4 Examination (See section B.4) 4.1 The examinations for MPhil, PhD, M.Prof and D.Prof have two stages; (i) submission and preliminary assessment of the thesis, (ii) defence of the thesis by oral examination (or an approved alternative). 4.2 It is the candidate s responsibility to ensure that the thesis is submitted before the expiry of the registration period, and to ensure that any conditions of eligibility required by the Sub- Committee are met. 4.3 A candidate will be examined by at least 2 examiners, of whom at least one will be external to the institution and the student s collaborating establishment. In the case of the M.Prof and D.Prof, one of the examiners should have up-to-date professional expertise. 4.4 The University Research Degrees Sub-Committee will consider the reports and recommendations of the examiners before coming to a decision on the result of the examination. 4.5 The University Research Degrees Sub-Committee may, subject to its requirements, permit one re-examination of which there are 5 possible forms. 4.6 Where the recommendations of the examiners are not unanimous, the University Research Degrees Sub-Committee may: (i) (ii) (iii) accept a majority recommendation; or accept the recommendation of the External Examiner; or require the appointment of an additional External Examiner. A 9

19 A.5 Thesis The thesis shall be submitted in accordance with University guidelines or British Standard BS 4821 (1990). (See Research Degrees Regulations section B.5). A.6 Awards of MPhil and PhD by Published Work - See section B.6. A.7 Review of an Assessment Decision A candidate may, in certain circumstances, request a review of an examination decision. Such a review may only be requested in relation to a decision of the Sub-Committee after consideration of the recommendation of the examiners. (See Research Degrees Regulations section B.7). A 10

20 B RESEARCH DEGREES REGULATIONS B.1.1 Registration and Entry Qualifications Programmes of research may be proposed in any field of study subject to the requirements that the proposed programme is capable of leading to scholarly research and to its presentation for assessment by appropriate examiners. The written thesis may be supplemented by material in other than written form. 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. i) Qualifications Offered Registration is for the following degrees: a) Master of Philosophy, (MPhil); b) Doctor of Philosophy, (PhD). c) Master in Professional Studies, (M.Prof); d) Doctor in Professional Studies, (D.Prof). ii) Registration Criteria In approving an application for registration, the Sub-Committee shall satisfy itself that: a) the candidate is suitably qualified; b) the candidate is embarking on a viable research programme; c) supervision is adequate and likely to be sustained; and d) the University is able to provide appropriate facilities for the conduct of scholarly research in the area of the research programme, and e) in the case of M.Prof or D.Prof, adequate resources exist within the candidate s company for the conduct of the research programme, otherwise additional bench fees must be charged as appropriate. B 1

21 iii) Entry Qualifications a) An applicant for registration for the degree of MPhil, M.Prof, PhD or D.Prof shall normally hold a first or upper second class honours degree of the University or of the Council for National Academic Awards or of a university in the UK or a qualification which is regarded by the Sub-Committee as equivalent to such an honours degree. Applicants for the award of M.Prof or D.Prof should also have appropriate experience at postgraduate level in professional practice in the proposed field. (See also B.1 iii) c below). b) An applicant holding qualifications other than those in paragraph B.1 (iii) shall be considered on his/her merits and in relation to the nature and scope of the programme of work proposed. In considering an applicant in this category, the Sub-Committee shall look for evidence of the candidate's ability and background knowledge in relation to the proposed research. Professional experience, publications, written reports or other appropriate evidence of accomplishment shall be taken into consideration under APEL/APL procedures. The Sub-Committee may require an applicant to pass an externally assessed qualifying examination at final year honours degree level before registration is approved. An applicant wishing to be considered under this regulation shall include in the application for registration the names of two suitable persons whom the University may consult concerning the candidate's academic attainment and fitness for research, and, in the case of applicants for M.Prof or D.Prof, fitness for research in the professional area concerned. c) Normally, an applicant who is newly qualified or retired will not be considered for M.Prof or D.Prof, and will be directed to the alternative forms of doctoral qualification, i.e. MPhil or PhD, and possibly MPhil or PhD by Completed Work. iv) Group Projects a) An applicant whose work forms part of a larger group project may register for a research degree. In such cases each individually registered project shall in itself be distinguishable for the purposes of assessment and be appropriate for the award being sought. Each individual contribution and its relationship to the group project shall be clearly indicated. b) Where a research degree project is part of a piece of funded research, the Sub-Committee shall establish to its satisfaction that the terms on which the research is funded do not detract B 2

22 from the fulfilment of the objectives and requirements of the candidate's research degree. v) Students working overseas The Sub-Committee may approve an application from a person proposing to work outside the UK, provided that: a) there is satisfactory evidence as to the 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 spend normally not less than six weeks per year at the University. In the case of M.Prof or D.Prof, the candidate should visit the University at least twice per year and a member of the Supervisory Team should visit the candidate at least once per year (one visit should coincide with Monitoring and Review - see paragraph B.1.4 vi)). vi) Registration backdating a) Students enrolling prior to 1 September 2012 Registrations are backdated to the date of first enrolment. b) Students enrolling on or after 1 September 2012 Registration takes place concurrently with first enrolment and the date of Registration will be that of first enrolment. vii) Advanced Standing Registration periods Where a candidate has previously undertaken research as a registered candidate for a research degree the Sub-Committee 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. viii) Review A candidate may request the review of all decisions concerning registration made by the Committee, in accordance with the Assessment Review Regulations set out in B.7. B 3

23 B.1.2 Initial Registration i) Research Methods Training In order to support academic achievement in research and to ensure that candidates are adequately prepared for the demands that advanced work places on them, candidates will be required to follow a programme of related studies where this is necessary for the attainment of competence in research methods and of knowledge related to the subject of the thesis. This programme shall be intended: 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 (including the payment of appropriate tuition fees), he/she may be recommended for that award in addition to the degree of MPhil, PhD, M.Prof or D.Prof (see also paragraph B.1.2 (iv)). ii) Training Needs Analysis If a formal Training Needs Analysis has not been completed, other than during the Application stage on form UTRD APP12, then this should be performed prior to Progression being approved. Evidence should be provided along with Progression documents iii) Pre-requisites for Progression Attendance at all the required training specified in a candidate s offer letter will be monitored and will be a pre-requisite for approval of a candidate s progress at the Progression Board [See also Regs B.3.2.i] iv) Integrated Programmes of Work A candidate for a PhD or D.Prof may undertake an integrated programme of work which, as well as the research element, shall include a programme of postgraduate study on which his/her performance shall be formally assessed. Such a course of study shall not occupy more than one third of the total period of registration and shall complement the research. In the case of D.Prof, taught elements must comprise validated modules either from University or externally validated courses. This regulation shall not apply to the MPhil or M.Prof degree. B 4

24 v) Relationship of award-bearing training to the research degree thesis Where award-bearing training modules are undertaken, any practical work may be related to the research which will form the basis of the research degree, but should not form a substantial part of it. Training work may consist of a preliminary or pilot study or a small study of a cognate area and may appear in the research degree thesis (with due acknowledgement of its source) but must not form a major part of the thesis. vi) Prior Experiential Learning Where a programme for the award of M.Prof or D.Prof normally requires a candidate to follow a number of taught modules, the candidate may be exempt from some or all of the modules as appropriate, provided they can show evidence of prior experiential learning at postgraduate level which has resulted in published work, written report or other appropriate evidence of accomplishment in the discipline which is appropriate to the proposed research. vii) Concurrent Registration The Sub-Committee may permit a candidate to 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 Sub- Committee, the dual registration will not detract from the research [see also paragraph B.1.2 i) c)]. There is also a policy in relation to taught courses about students studying additional modules outside their main programme of study which is defined in the taught courses Student Handbook. viii) Creative Work A candidate may undertake a programme of research in which the candidate's own creative work forms, as a point of origin or reference, a significant part of the intellectual enquiry. Such 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. In such cases, the presentation and submission may be partly in other than written form. 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 paragraph B.5.1 (vi)). B 5

25 The final submission shall be accompanied by some permanent record (for instance, video, photographic record, musical score, and diagrammatic representation) of the creative work, where practicable, bound with the thesis. The application for registration shall set out the form of the candidate's intended submission and of the proposed methods of assessment. ix) Scholarly Editions A candidate may undertake a programme of research 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 set the text in the relevant historical, theoretical or critical context. The thesis itself shall conform to the usual scholarly requirements and be of an appropriate length (see paragraph B.5.1 (vi)). x) Portfolio of Professional Work The work submitted must constitute a coherent whole and must incorporate an abstract; introduction and conclusion which puts the total work submitted into context, and may also involve the writing of intermediate connecting passages. Where reports and briefing papers form the body of the submission, the Supervisors and candidate should refer to Regulations B.5.1 vi) to consider the number of papers which are required to accomplish this objective. These will form part of the material to be examined. In the case of D.Prof, the submitted work must constitute an independent and original contribution to knowledge. xi) Language of Thesis and Oral Except where permission has been given for the thesis and the oral examination to be in another language, the Sub-Committee 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. 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 language and related studies in a language other than English. B 6

26 xii) Research Effort A candidate may register on a full-time or a part-time basis. 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 12 hours per week. However, it is expected that except in exceptional circumstances, registration for M.Prof, M.Prof/D.Prof, and D.Prof would be on a parttime basis. xiii) Confidentiality Agreements Where a candidate or the University or Sponsor wishes the thesis to remain confidential for a period of time after completion of the work for reasons of anticipated publication, commercial sensitivity or other confidential content, application for approval shall normally be made to the Sub-Committee at the time of registration, stating the reasons. In cases where the need for confidentiality emerges at a subsequent stage, a special application for the thesis to remain confidential after submission shall be made immediately to the Sub-Committee. The period approved shall normally not exceed two years from the date of the oral examination. In exceptional circumstances this period may be extended by the Sub-Committee. B 7

27 B.1.3 Research Ethics i) Personal Responsibility The University subscribes to an ethic of personal responsibility by which individual researchers, and, in the case of students, their supervisors should have some degree of autonomy and take personal responsibility for their research. Directors of Study/Supervisors should bring to the attention of their students the Ethical Guidelines of relevant professional associations. ii) Research Ethics Committees, Policy & Guidelines The University has established a Research Ethics Sub-Committee of Research Policy Committee, and each School has a Research Ethics Sub-Committee. The School Research Ethics Sub-Committees will consider ethical issues raised by individual projects undertaken which involve human subjects either in the experimentation or collection of data. See the University s Policy, Procedures and Guidelines for Research Ethics. iii) Ethical Clearance Ethical Clearance must have been obtained by the time of Application for Progression. Failure to obtain ethical Clearance will delay the approval of Progression. A copy of the appropriate Release or Approval form which, when signed off by the Chair of the relevant School Research Ethics Committee, constitutes Clearance shall be attached to the form UTRD PROG. iv) Ethical Clearance for Changes to Research Programmes Where during the course of the research the nature of the experimentation/data collection involving human subjects changes substantially from that in the original proposal, via the Director of Studies the candidate shall apply for Research Ethics Release/ Approval as appropriate, in accordance with the University s Research Ethics procedures. Where appropriate, candidates and their supervisors are advised to consider any changes during the annual monitoring process on form UTRD REVW. B 8

28 B.1.4 The Registration Period i) Minimum and Maximum Registrations The normal minimum and maximum periods of registration shall be as follows: Minimum Maximum Masters Level full-time (MPhil only) 18 months 36 months part-time 30 months 48 months Doctorate level (via transfer from Masters registration and including that period of Masters registration for students Registered prior to 1 September 2007 only) full-time (MPhil only) 33 months 60 months part-time 45 months 72 months Doctorate level full-time (PhD only) 24 months 48 months 2 part-time 36 months 84 months 3 ii) Expected completions A full-time candidate shall normally reach the standard for MPhil or M.Prof within two years of registration and for PhD or D.Prof within three years. iii) Accelerated Registrations Where there is evidence that the research is proceeding exceptionally well, the Sub-Committee may approve a shorter minimum period of registration. An application for such shortening should be submitted at the same time as the application for approval of examination arrangements. iv) Effect on Registration Periods of Changes of Mode of Study Where a candidate changes after three years from full-time to part-time study, the minimum and maximum registration periods shall be calculated as if he/she were a full-time candidate. Notification of such a change shall be made on the appropriate form (UTRD CHMS). 2 For students whose first enrolment is 9 January 2012 onwards. Students whose first full-time enrolment was prior to 9 January 2012 will have a maximum Registration period of 60 months. 3 All part-time students, whether new or existing enrolments, from 1 August 2011 have a maximum Registration period of 84 months, existing students registrations adjusted accordingly. B 9

29 v) Changes to registered programmes A candidate seeking a change to a registered research degree programme shall apply in writing to the Sub-Committee for approval. Revised Ethical Clearance may need to be applied for. vi) Monitoring and Review a) Annual Monitoring Once per year - around the anniversary date of enrolment in October, January/February, or May the sub-committee shall establish whether a candidate is still actively engaged on the research programme and is maintaining regular and frequent contact with the supervisors and shall consider a report on the candidate s progress. As a result of obtaining this report, the sub-committee shall take appropriate action which may include the withdrawal of the candidate s registration. b) Review A candidate may request the review of a decision not to permit annual progression, in accordance with the Assessment Review Regulations as set out in section (B.7). c) Exceptions to Annual Monitoring Candidates who are required to attend a Progression Board will be exempt from the requirement of annual monitoring on the enrolment anniversary where they are required to attend a Progression Board. Normally, a candidate who is expected to submit a thesis for examination within the three month period subsequent to the date on which they would be required to undertake annual monitoring will be exempt. vii) Suspension of Registration Where the candidate is prevented, by ill health or other valid cause (including Maternity or Paternity Leave), from making progress with the research, the registration may be suspended by the Sub-Committee, normally for normally not less than three months and not more than one year at a time. Notification of such supervision shall be made on the appropriate form (UTRD SUSP). The commencement date for Applications for Suspension cannot be backdated beyond 3 months from the date of receipt by the University Research Degrees sub-committee. Evidence (medical or otherwise) is required to be supplied. B 10

30 However, candidates should make themselves familiar with the requirements of any studentships/scholarships of which they are in receipt as separate approval will be required by external funding bodies, and may result in suspension of the studentship. Retrospective applications for suspension may result in requirements to repay fees and maintenance to the relevant funding body. The nomination of an Examination Team will not be approved for any student whose suspension of registration is current. Suspensions must not be used in order to delay the expiry of Registration. In cases where for valid reasons a candidate is unable to submit by the Registration date, an application for Extension of Registration must be applied for [See Regs B.1.4 viii)]. viii) Extension of Registration a) A candidate shall submit the thesis to the Secretary of the Sub- Committee before the expiry of the maximum period of registration. Where for valid reasons a candidate does not expect to be able to submit by the Registration expiry date, a candidate may apply for an extension to the period of registration normally for not more than one year at a time, and normally must do so before the Registration expiry date. A candidate seeking such an extension shall apply on the appropriate form (UTRD EXTN). The Committee may withdraw any candidate who fails to submit a thesis prior to expiry of the maximum registration period. [See Regs B.4.3 i)] b) In the event that a candidate is prevented by valid reason from not submitting an application for Extension before the Registration expiry date, the commencement date for Applications for Extensions cannot be backdated beyond 3 months from the date of receipt by the University Research Degrees sub-committee. Additionally, evidence (medical or otherwise) is required to be supplied to support late applications. c) A candidate may request the review of a decision not to permit Extension to Registration, in accordance with the Assessment Review Regulations set out in section B.7. ix) Withdrawal of Registration or Study Where a candidate has discontinued the research, the withdrawal of registration shall be notified to the Sub-Committee on the appropriate form (UTRD WITHD). Candidates should also make themselves familiar with the requirements of any studentships/scholarships of B 11

31 which they are in receipt as notification of withdrawal will be required by external funding bodies. Tuition fees are payable to the University up to the effective date of withdrawal. Retrospective notifications of withdrawal may result in requirements to repay fees and maintenance to the relevant funding body. The Sub-Committee may also approve the withdrawal of candidates whose failure to attend Supervisory meetings, Research Training sessions and/or submit assignments required by their Supervisory Team indicates that the candidates are no longer engaging in their research. Before proposing the withdrawal, the School s Postgraduate Tutor must investigate the circumstances and the candidate must be called to a Special Review meeting. Candidates must be given two weeks notice to attend the meeting. Failure to attend such a meeting will result in one warning letter giving a further meeting date in the same timescale. Failure to attend that meeting will result in the candidate being withdrawn. For candidates working overseas, Schools must make arrangements for tele- or video-conferencing of Special Review Meetings. x) Enrolment and Annual Re-enrolment Students are required to re-enrol on the anniversary of their start date following determination by their School that academic progress is sufficient. Enrolment is required up to the point at which a student's degree is ratified. Students must be enrolled throughout the duration of their studies, at the point of submission of the thesis, during the period that they are being examined, and during any period subsequent to examination in which they are making amendments or revisions to a thesis. Any student who does not re-enrol for the current academic year following notification that they should do so, and who has not had a formal Application for Suspension approved by URDSC, will be contacted again by post and by within a month to request them to re-enrol. Failure to re-enrol following this second request will result in automatic termination of the student's Registration and Withdrawal. Change of contact addresses or failure to check an official student address will not be considered a valid reason for failure to reenrol. Withdrawal on the basis of failure to re-enrol cannot be appealed. B.1.5 Academic misconduct suspected during the course of supervision Where evidence of academic misconduct comes to light during research for and preparation of the thesis, action should be taken in accordance with Regulations Relating to Research Misconduct on Research Degree Programmes (separate document). B 12

32 B.1.6 Intellectual Property Rights Copies of the University s Regulations Relating to Intellectual Property Rights in Students Course Work, including programmes of research or study leading to a higher degree are available from the Graduate Research School or the Student Regulations page of the University s website at: B.2 SUPERVISION i) Number of Supervisors A research degree candidate shall have at least two and normally not more than three supervisors. ii) Supervisory Experience A supervision team shall normally have had a combined experience of supervising not fewer than two candidates to successful completion. This may be achieved as follows: Either at least one supervisor shall have had experience of supervising at least two candidates to successful completion of a UK research degree, or at least one supervisor shall have had experience of supervising one candidate to successful completion of a UK research degree and have taken for credit and passed the Research Supervisors Training Module, or approved external equivalent. In the case of a PhD or D.Prof, the successful supervision must be at PhD or D.Prof level. iii) Research Supervisor Training Academics who wish to become research supervisors must normally successfully complete an approved supervisory training programme, (or approved external equivalent), before they undertake any supervisory role. Only in exceptional circumstances will a member of staff be allowed to undertake supervision without such training and in that event the training programme must be successfully completed within twelve months of the uptake of such a duty. iv) Director of Studies One supervisor shall be the Director of Studies (first supervisor) with responsibility to supervise the candidate on a regular and frequent basis in accordance with the Code of Practice for Research Degrees. Normally a Director of Studies should not be responsible for supervising more than six students as Director of Studies at any one time. B 13

33 From academic year Directors of Study should be Internal to the University, but this does not affect existing approved Supervisory arrangements. v) Additional Advisers In addition to the supervisors, an adviser or advisers may be proposed to contribute some specialised knowledge or a link with an external organisation. In the case of M.Prof, M.Prof/D.Prof or D.Prof, at least one additional advisor must be proposed to contribute professional practice in the chosen field. This may be from the candidate s employing company. vi) Supervisors Registered for Research Degrees A candidate for a research degree (except for a degree of PhD by Completed Work) normally shall be ineligible to act as a member of a Supervisory Team for another research degree candidate. This Regulation shall be applicable to all Supervisory Teams of research students enrolling/registering w.e.f. 1 September 2008 onwards. With respect to staff approved as Supervisors prior to 1 September 2008 and also registered for Research Degrees, in the event of matters of concern being raised about potential conflicts of interest of such staff, or about potential poor quality of supervision where a staff member s own academic progress is called into question at Annual Monitoring, Progression or examination, the University Research Degrees sub-committee may seek to make alternative Supervisory arrangements for the Student being supervised by the member of staff concerned, whilst ensuring minimum disruption to the Student concerned. vii) Change of Supervisory Arrangements A proposal for a change in supervision arrangements shall be made to the Sub-Committee on the appropriate form (UTRD CHSUP). A change may be instigated either by the Student or by a member of the Supervisory Team, in consultation with the relevant School s Tutor for Postgraduate Students, and all parties concerned. B 14

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