THE UNIVERSITY OF NORTHAMPTON

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1 THE UNIVERSITY OF NORTHAMPTON RESEARCH DEGREES HANDBOOK INTRODUCTION TO THE HANDBOOK This handbook is designed to be a practical guide to the research degrees programme at The University of Northampton. It contains most of the information you will need to find your way through the system and is designed to be useful to research degree students, supervisors, research degree tutors, members of Research Degrees Boards, members of the Research Degrees Committee, administrators and other personnel within the University involved with the research degree programme. Although this handbook is intended as a one-stop information source, being involved in a research degrees programme will overlap with other activities in the institution for instance obtaining external funding for research. Information on general research matters is available from the Graduate School as is advice and guidance on any matters relating to research degrees. The Research Degrees Handbook is intended as a dynamic document and will be updated and added to periodically. This handbook is divided into three sections: Section A Section B Section C Research Degree Regulations Code of Practice for Research Degree Students and Supervisors Framework for Postgraduate Student Training If the information you need is not in this handbook, or if you need further clarification, then please contact the Postgraduate Research Manager in the first instance. Graduate School Staffing The Graduate School is based in rooms MY121 and MY118, Avenue Campus.. Head of The Graduate School, Chair of Research Degrees Committee and Supervisor Development Coordinator Professor Ian Livingstone Phone* Ian.livingstone@northampton.ac.uk Postgraduate Research Manager Mr David Watson 2812 David.watson@northampton.ac.uk Training Co-ordinator Research Programmes Postgraduate Research Co- Ordinator Research Student Administrator Ms Simone Apel 3418 Simone.apel@northampton.ac.uk Miss Gemma Butt 2517 Gemma.butt@northampton.ac.uk Mrs Twiggy Spagnuolo 2824 Twiggy.spagnuolo@northampton.ac.uk Research Support Librarian Dr Miggie Pickton 2245 Miggie.pickton@northampton.ac.uk Research Information Specialist Mr Nick Dimmock 3514 Nick.dimmock@northampton.ac.uk *To phone these extensions from outside, dial followed by the extension number. The University of Northampton Research Degrees Handbook (A )

2 RESEARCH DEGREES HANDBOOK Section A: Research Degree Regulations IN THIS SECTION: A1 A2 A3 A4 A5 A6 A7 A1 Quality Assurance Admissions and Enrolment Registration of Research Degree Students Supervision Examination, Assessment and Awards Monitoring and Review Student Responsibilities and Conduct QUALITY ASSURANCE A1.1 The University of Northampton Committee Structure In exercising its responsibilities for student affairs in relation to research degrees, Senate has appointed a Research Degrees Committee to act on its behalf. Senate has established and maintains a constitution, terms of reference and procedures for the Research Degrees Committee that provide for: i) experienced expert membership of the Committee including members from other institutions; ii) the delegation of authority in accordance A1.1.1; iii) the Secretary shall be an authorised officer of Senate appointed by the Director of Student and Academic Services. A1.1.1 Delegation of authority The Research Degrees Committee is the major instrument for ensuring Senate that the academic quality and standards of research degree programmes are maintained and enhanced. Senate has delegated to the Research Degrees Committee: i) the authority to determine all matters relating to the admission, registration, progress, supervision, training and examination of research degree students; ii) the authority to approve matters of policy and any procedures relating to the admission, registration, progress, supervision, training and examination of research degree students. Senate retains authority to: iii) approve matters relating to the appointment of examining teams, granting and conferment of awards and termination of student s registration. The purpose, terms of reference and membership of the Research Degrees Committee and board is given below. A1.1.2 Research Degrees Committee (RDC) a) RDC: Terms of Reference The University of Northampton Research Degrees Handbook (A )

3 To recommend to Senate for approval; i) awards and terminations in relation to research degrees in accordance with University regulations; ii) nominations for the appointment of internal and external examiners; iii) policies for the maintenance of academic standards, quality assurance and the enhancement of research degree programmes and to monitor compliance; iv) policies for the admission of students to research degrees; On behalf of Senate i) to approve arrangements for the submission of theses and examination of ii) students, including matters relating to the confidentiality of the thesis; iii) to approve research degree students supervision arrangements according to the iv) University regulations for research degrees v) to approve arrangements for the induction and training of research degree students appropriate to their needs and to ensure training for research supervisors; vi) to approve applications from students requesting off-site study; vii) to approve registrations on to Professional Research modules, registrations as Advanced Postgraduate (APG) student, direct registrations to PhD and transfer of registration from APG to either MPhil or PhD; viii) to approve changes in students registration status (e.g. suspension, extension or writing up); ix) to monitor the progress of students and take appropriate action where progress is unsatisfactory; x) Annually xi) to provide an annual report to Senate on the activities of the committee; xii) to receive an annual report from the Research Degrees Boards; xiii) to receive annual course reviews for taught modules of professional doctorates. b) RDC: Membership Chair - to be appointed by Senate; Chair of the Research Committee; Head of the Graduate School; Chairs of Research Degrees Boards (4); Chair of the Research Ethics Committee; Research Training Co-ordinators; Three members of staff of the University nominated by Executive Deans of School for their experience in supervision; Up to three external members external nominated for their extensive experience in the supervision, monitoring and management of research degree programmes; Up to four members elected by and from the Readers and Professors of the University; Two student representatives elected by the Postgraduate Research Students Committee; Ex Officio Executive Deans of School; Officer appointed by the Director of Student and Academic Services. The term of office of the nominated members is normally for three years, which may be renewable for one further term. The terms are organised in such a way as to ensure that not more than one third of the membership is due for renewal in any one year. The membership of the Committee, as far as possible, includes the range of disciplines of research degree activity in the University. The Committee has the right to draw on expert advice, either internal or external to the University, for particular projects. The University of Northampton Research Degrees Handbook (A )

4 No person registered for a research degree may be a member of the Committee. Sub committees of the Research Degrees Committee are: Research Degrees Board (Arts and Humanities, Business and Education, Science and Social Sciences) Research Ethics Committee Professional Doctorates Framework Board of Study Professional Doctorates Framework Assessment Board Research Degree Boards are responsible for the quality and academic standards of the professional research module. The Research Ethics Committee is considers ethical issues raised by, and gives approval to, proposals for research to be undertaken in the Professional Research Module. The Professional Doctorates Framework Board of Study is responsible for the quality and academic standards of the taught modules in the framework. The Professional Doctorates Framework Assessment Board is responsible for overseeing the assessment of taught modules and confirming the grades for all students studying taught modules within the framework. It recommends to the Research Degrees Board progression of students to a professional research module. A1.1.3 Research Degrees Boards (RDBs) a) RDB Terms of Reference i) provide a quality assurance procedure for research degrees at the School level, in accordance with the University s procedures; ii) monitor and report on the progress of research students within the constituent Schools. Thus, the terms of reference shall be: i) to receive for recommendation to the Research Degrees Committee all applications for registration as an Advanced Postgraduate Student (APG); ii) to receive for recommendation to the Research Degrees Committee all applications for transfer to MPhil/PhD; iii) to receive from the Professional Doctorates Framework Assessment Board for consideration and recommendation to the Research Degrees Committee the progression of students to a Professional Research module; iv) to receive for recommendation to the Research Degrees Committee applications for registration as a student for a PhD by Means of Published Works; v) to receive for recommendation to the Research Degrees Committee applications for suspension of study, extension of registration, writing up status and changes to supervisory teams; vi) to receive regular reports from research degree tutors on the progress of research students within the School, and identify any actions which need to be taken to enhance progress; vii) to receive, validate and recommend all nominations for examiners to the Research Degrees Committee; viii) to monitor School s compliance with the requirements for the provision of discipline based training and identify any actions which may need to be taken to improve provision; ix) to monitor student/supervisor contact and identify any actions which may need to be taken to improve contact; x) to receive reports from Research Degrees Committee and Research Committee for information and action.; xi) to provide an annual report to the Research Degrees Committee on the activities of the board. The University of Northampton Research Degrees Handbook (A )

5 b) RDB Membership Chair normally a professor, to be appointed by the Research Committee; Research active members of the University s academic staff with successful supervisory experience including: one member from each participating School; at least four staff drawn from appropriate disciplinary areas relevant to the business of the Board including, where appropriate experience of professional doctorates; at least two student representatives, 1 full time and 1 part time; at least one external member (e.g. Visiting Professor) selected for his/her research supervision and/or examination experience including, where appropriate experience of professional doctorates; Secretary appointed by Director of Student and Academic Services. Executive Deans of School are ex officio observer members. The Research Degrees Committee appoints the Chair for a fixed term, normally of three years. The term is renewable. The Research Degrees Committee following recommendation from Executive Deans of School appoints members for a term of three years. The term of office is renewable. The Chair of the Research Degrees Committee, Head of the Graduate School, the Director of Student and Academic Services and the Postgraduate Research Manager have right of attendance. Additional expert members from the University or elsewhere may be co-opted as appropriate to advise on specific issues. The Chair determines the term of office of such members. c) RDB - Processes As part of the University s procedures for research degrees, Research Degrees Boards act as subcommittees of the Research Degrees Committee. Consequently the work of Research Degrees Boards is subject to the same academic regulations, procedures and criteria. It is the responsibility of the Chairs of Research Degrees Boards to ensure that these regulations, procedures and criteria are being applied in all cases. Full papers on all applications, together with the comments and recommendations of Research Degrees Boards, should be passed to the Secretary of the Research Degrees Committee at least two weeks before the RDC meeting. It is the responsibility of Research Degrees Boards to ensure in all these cases that paperwork relating to those applications is complete and accurate. Research Degrees Boards will meet no less than 3 weeks before each Research Degrees Committee. All dates of Research Degrees Boards meetings will be published in advance. A2 ADMISSIONS AND ENROLMENT A2.1 Admissions A2.1.1 Entry requirements The University of Northampton Research Degrees Handbook (A )

6 The University s minimum entry requirement for a research degree is either a first degree with upper second class honours or a first degree with second class honours plus a Masters degree or international equivalent. For a candidate who does not meet this requirement the School should make a special case to the Special Admissions/APEL Committee chaired by the Head of the Graduate School based on one or more of the following: i) previous training and experience; ii) published work; iii) upper second class strengths shown in relevant courses in their first degree; iv) the student having passed a qualifying examination of final honours standard. If the Committee approves the case, a recommendation shall be forwarded to the Executive Dean of School. Where the candidate s first language is not English, evidence of a Secure English Language Test (SELT) at level C1 must be presented. An IELTS score of 7 overall, with no category score lower than 6.5, is required. Candidates must also be able to demonstrate at interview and in the written proposal, appropriate language skills for the specific area of proposed research. Candidates must also be able to demonstrate at interview and in the written proposal, appropriate language skills for the specific area of proposed research. A2.1.2 Application for Higher Degrees by Research Applicants who wish to undertake a research degree at the University should complete an application form. A proposal of approximately 1000 words should be included in the application. A2.1.3 Application for PhD by Means of Published Works Applicants for PhD by means of published works should list the publications to be considered (including ISSN / ISBN numbers or other evidence of publication) on the application form as part of the outline of intended research. Applicants should also submit a document of words detailing the extent to which the published works provide a coherent demonstration of the following: i) the creation and interpretation of new knowledge, through original research or other advanced scholarship, of a quality to satisfy peer review, extend the forefront of the discipline, and merit publication, ii) A systematic acquisition and understanding of a substantial body of knowledge which is at the forefront of an academic discipline or area of professional practice. Only the following published work and other research outputs will be considered i) Research outputs submitted for the degree might include articles, chapters, monographs, books, research reports or other published work and practice-based outcomes including work exhibited, performed, recorded, screened and broadcast. Outputs submitted must have been peer reviewed. Where the submission involves creative works in media formats where the output may not be in the printed form, it must be constant enough and accessible enough to peer review to permit it to be judged as published. The status of the commissioning body and the subsequent critical reviews will be taken into account as indicators of the standing of the work. The University of Northampton Research Degrees Handbook (A )

7 ii) iii) iv) The work submitted must be in the public domain on the date of registration. Manuscripts of work not yet accepted for publication or works in press are ineligible for submission. Any work not in the public domain, such as confidential research reports, is ineligible for submission. A work is normally regarded as published only if it is traceable through ordinary catalogues, abstracts or citation indices and is available to the general public. This will normally require that works are registered with an ISSN/ISBN number. The work submitted should normally be in English. Permission to present works in a language other than English is sought at the time of application for registration from the Research Degrees Committee. v) The work submitted may have been published at any time during the candidate s research career prior to the date of registration but the items of published work must represent a coherent programme of research and make an original contribution to the present state of knowledge. vi) Where multi-authored works are included candidates are required to submit evidence of their individual contribution to the work corroborated by at least one other co-author. It is expected that the submitted research outputs: i) should represent work for which the author is responsible for leading or to which s/he has ii) vii) viii) made a major contribution to as an expert; should not represent work where the author was a member of a research team in which s/he had no major contribution (e.g. that undertaken by a research assistant/contract researcher on a designated programme of research). Candidates shall not normally include multi-authored works which have been co-authored with their own research students. The research presented in the published work shall not have been previously submitted for any other award, at this or any other institution, by the candidate A2.1.4 Equality and Diversity All applications are considered in line with the University s Equality and Diversity Policy and Admissions Policy which can be found at: A2.1.5 Application for off-campus study As normal practice, students studying for a research degree shall receive supervision, support and training at The University of Northampton (that is, on-site). Approval for a student to study offsite, whether elsewhere in the UK or overseas shall be considered as a special dispensation that can be granted by the RDC at application. In such cases, at application the student and proposed supervisory team shall be required to provide documentation that demonstrates the manner in which appropriate research degrees supervision shall be sustained within and by a suitable research environment, the ways in which research training shall be provided and fulfilled, particularly discipline-based training, and the procedures that shall be set in place to monitor student progress and to provide routine support to that student. The School shall present the relevant section of Interview Report Form 2 (IR2) to the Research Degrees Committee for approval of the arrangements for off-site study prior to enrolment. A2.1.6 Applications to transfer from another institution Students applying to transfer their registration on a research degree programme at another institution can do so at any point prior to transfer to a named award and must be registered for a minimum of two years prior to the submission of the thesis. Following enrolment, the student must register the project, team, etc with the Research Degrees Board as described in Section The University of Northampton Research Degrees Handbook (A )

8 A3.2. The application for registration will include a summary of the project and progress to date. Following this the student will be required to apply for transfer of registration as described in Section A3.4. A2.1.6 References If the candidate is to be invited to interview, references will be obtained by the Postgraduate Research Manager. A2.1.7 Interview An interview should form part of the selection process for a research degree whenever practical with at least two members of academic staff from the relevant School. Where the arrangement for such an interview is not feasible, for example the candidate is resident overseas, Schools should have fair and rigorous selection procedures in place to assess a candidate s suitability to undertake a research degree. Interviews must be conducted by a properly constituted and trained interview panel. Interviews are organised by the Executive Dean of School, or nominee, in collaboration with the School s or Division s Research Leader and the proposed Director of Studies/Principal Supervisor. The outcome of the interview must be formally recorded. Candidates will be informed of the outcome of the interview by the Postgraduate Research Manager. At the point of offer candidates will be sent details of the regulations governing postgraduate research training and a copy of the code of practice including details of the student s obligations. Candidates will be asked to confirm their understanding and acceptance of the regulations and code of practice. Following proof of qualifications and written acceptance of an offer candidates will be enrolled as students of The University of Northampton and fees will become payable. Where the applicant wishes to undertake a PhD by means of published work, the Executive Dean of School must demonstrate on the Applicant Interview Report Form (IR2) that s/he is satisfied that the applicant has presented a coherent programme of research making an original contribution to the present state of knowledge. A2.2 Enrolment All students are required to enrol at the date and time which will be notified to each student. At enrolment each student will receive a card of membership of The University which will give access to the Library and other on-site facilities. If it is lost a replacement, for which a charge will be made, may be obtained through the Academic Registry. A3 REGISTRATION OF RESEARCH DEGREE STUDENTS A3.1 Enrolled Student Status Enrolment at the University is designated a probationary period during which the student and the proposed first supervisor work to put together a proposal for research degree registration to be submitted to the appropriate Research Degrees Board. During their period of enrolment a student is required to: i) Complete the induction programme (see section C2.1); ii) Complete specified parts of the generic training programme; The University of Northampton Research Degrees Handbook (A )

9 iii) iv) Develop a project proposal; Produce a plan of work. A3.2 Registration A3.2.1 Registration as an Advanced Postgraduate Student (APG): general regulations Registration in the first instance shall normally be as an Advanced Postgraduate Student. Registration as an Advanced Postgraduate Student will end upon the transfer of registration to a specific named degree (MPhil or PhD). Registration will normally occur within 4 months of initial enrolment for a full-time student and within 8 months of initial enrolment for a part-time student. The minimum period of registration as an Advanced Postgraduate Student shall be six months. The maximum period of registration as an advanced postgraduate student shall normally be 12 months full-time or 24 months part-time. The prescribed minimum and maximum periods of registration shall be calculated by reference to the date of a candidate s original enrolment as a research degrees student. A3.2.2 Application to Register as an Advanced Postgraduate Student (APG) APG registration is a major quality assurance stage and is designed to ensure, as far as possible, that everything is in place for a successful research degree programme. The information required to support the application for APG registration is as follows (see APG Guidelines on website): Evidence Required Application details Quality and suitability of project information on candidate, project title, mode of study etc (provided on form REG 1) outline project proposal giving details of research project; should not normally exceed 2,500 words. Supervisory team details of supervisory team (provided on form REG 2) Adequate resourcing Training plan of work resources statement (provided on form REG 3) to ensure that all the costs associated with the research project and the sources of funding have been identified and agreed in advance in order to minimise the risk of the project failing through inadequate resourcing details of the training undertaken and identification of future training needs (to be provided on form REG TPW) A3.2.4 Registration as a direct PhD student (PhD by means of published work): General Regulations Following enrolment, the relevant Research Degree Board will consider the case for direct registration to PhD. Registration should take place no more than three months following enrolment. The RDB must be satisfied that: The University of Northampton Research Degrees Handbook (A )

10 (i) (ii) there is a prima facie case that the published work / research outputs proposed for submission represent a coherent body of work, is set in the appropriate context and makes an original and sufficient contribution to the present state of knowledge; the research environment and proposed supervisory arrangements are appropriate. A3.2.5 Application to register as a direct PhD student (PhD by means of published work): The information required to support the application for direct registration to PhD is as follows: Evidence Required Application details Outline of the proposed thesis information on candidate, project title, etc (provided on form REG 1) specifying aims, organisation of the thesis, context, originality and contribution to knowledge and understanding. Should not normally exceed 2,500 words Supervisory team details of supervisory team (provided on form REG 2) Training plan of work details of the training undertaken and identification of future training needs (to be provided on TPWREG). Students are required to take the relevant parts of the induction programme. A3.2.6 The research environment At the time of enrolment students will provide a project proposal giving details of the research project. A programme of research may be proposed in any topic provided that it can be demonstrated that the programme is in a subject area for which the University: i) has sufficient numbers of full-time academic staff capable of scholarly research with a record of research achievement in the subject area; ii) can provide an environment which will encourage high quality research and support research degree students through appropriate discipline-based training; iii) has staff experienced in research degree supervision and the capacity to supervise the project in accordance with University guidelines; iv) can provide an appropriate internal examiner. Such a learning environment will enable students to make judgements requiring creativity and critical independent thought, accepting that uncertainty is a feature of the conduct of research programmes. This environment should enable students to grapple with challenges that develop intellectual maturity and encourage a high level of reflection on the student s own learning about research as well as on research outcomes. A3.2.7 Standard of programmes of proposed research In order to exercise the University s responsibilities the Research Degrees Committee will establish and maintain appropriate mechanisms for the approval of programmes of study which ensure that: i) appropriate and experienced academic judgement is brought to bear on each proposal; ii) the viability and academic value of each programme is fully investigated and found to be appropriate for the award sought; The University of Northampton Research Degrees Handbook (A )

11 iii) there are appropriate research facilities and environment to support the proposal in question; iv) the candidate is suitable for admission; v) the arrangements for supervision are sound and demonstrate appropriate experience and expertise amongst the supervisors; vi) ethical approval has been sought where appropriate; vii) the proposed research has been appropriately risk assessed; viii) from the outset of study both supervisors and students clearly understand their responsibilities to the Research Degrees Committee and each other. Such procedures may involve members from other institutions in appropriate approval procedures. A3.3 Registration Periods A3.3.1 Minimum period of registration Candidates for higher degrees by individually supervised study shall normally maintain registration for at least the period set out below before submitting a thesis for the degree for which they are registered. Proposed Degree Full-time Part-time PhD 2 years 3 years MPhil 18 months 30 months PhD by means of n/a 1 year* published works *Where there is evidence that the compilation of the published work and the critical appraisal had progressed exceptionally well, the Research Degrees Committee may approve the work being submitted in less than the minimum period of registration. Requests to submit before one year of enrolment should be made in writing and with the support of their supervisory team, to the Postgraduate Research Manager. A3.3.2 Maximum period of registration Candidates for higher degrees by individually supervised study shall not, other than with the approval of Senate, maintain their registration beyond the following maximum periods: Proposed Degree Full-time Part-time PhD 4 years 6 years MPhil 3 years 5 years PhD by means of n/a 2 years published works The University of Northampton Research Degrees Handbook (A )

12 A3.4 Transfer of Registration Transfer is the point at which it is determined which degree the student should be registered for. Within a maximum period from the date of formal registration of twelve months, for full-time students, or twenty four months for part-time students, an application for transfer of registration for either the degree of PhD or MPhil is made to the appropriate Research Degrees Board which then recommends satisfactory applications to the Research Degrees Committee (RDC) for consideration. Transfer is approved by the RDC as follows: Registration for the degree of PhD; or Registration for the degree of M Phil; or Termination of registration. If the recommendation is for termination of registration the student has the right of appeal (see Section A7.6). The role of the Research Degrees Committee is to assure the University that a satisfactory case has been made for Transfer to registration for a specified award on the grounds of the suitability of both the student and of the research undertaken. The evidence that the Committee will use to evaluate the case will be (see Transfer Guidelines on website): Application for Transfer of Registration (RDB TRANS 1); Case for Transfer (should not normally exceed 1,500 words); Updated Postgraduate Training Plan of Work; Evidence that the first supervisor has seen two satisfactory draft chapters of the thesis and that the student has presented a satisfactory research seminar to the School and undertaken a viva voce (see section C2.3.3). In addition, for students undertaking a practice based PhD in the Arts a statement should be provided establishing whether the practical component of the thesis is to be formally examined and if so the times and places of access of examiners must be identified. This statement will determine the timescale for the nomination of examiners. A3.5 Suspension of Registration Under exceptional circumstances, a suspension of registration (intercalation) may be granted by the Research Degrees Committee upon application by the student with the support of their supervisory team. Requests for intercalation must be sent to the Postgraduate Research Manager. The maximum period of intercalation is 12 months. A3.6 Extension of Registration Under exceptional circumstances, an extension of registration may be granted by the Research Degrees Committee upon application by the student with the support of their supervisory team. Requests for an extension must be sent to the Postgraduate Research Manager before the end of the original registration period. A3.7 Dual Registration No student registered on a postgraduate course at the University may be registered concurrently on any other course at the University or another institution. The University of Northampton Research Degrees Handbook (A )

13 A3.8 Withdrawal Any student who wishes to withdraw from the University must notify the Graduate School Office in writing of their intention to do so and similarly inform his/her Executive Dean of School and the supervisory team. A3.9 Writing Up Students who have completed the minimum period of registration for a research degree (2 years for full time students, 3 years for part time students) and for whom the main activity is writing up (rather than collecting or analysing new information) may, with the support of their supervisor, apply to transfer to writing up status. Students who have transferred to writing up status are entitled to a reduction in fees. Writing up students may have access to appropriate word processing/computing facilities with the approval of the relevant Executive Dean of School and are also permitted appropriate use of Library facilities. Writing up students will also continue to have appropriate support from their supervisors. The maximum period of registration as a writing up student is one year and this period is counted as part of the maximum registration periods given in A Writing up students must submit their thesis within the writing up year. By accepting writing up status if the latest submission date is outside of this period, it shall be adjusted to the end of the writing up year (that is, 12 months from the start date); if the latest submission date is within the writing up period it shall remain as the date of submission. Where there are extenuating circumstances affecting a student s ability to submit the thesis within the writing up period, an extension of registration can be requested as outlined in Section A3.6 of the Research Degrees Handbook. Students will be advised of their latest submission date following approval of writing up status. University-funded students may apply for writing up status at any time during their studies providing they meet the requirements above. University-funded students who have not applied for writing up status at the end of the bursary period will be required to pay full fees. Students who are self funded of who have external funding must apply for writing up status at the beginning of the fee period (September/October) in order to be eligible. Students registered for PhD by means of published work are not entitled to writing up status. A4 SUPERVISION A4.1 Supervisors: general regulations Supervisors for candidates for higher degrees by individually supervised study shall: i) be appointed by the School; ii) be part of a supervisory team; iii) have the appropriate skills and subject knowledge to support, encourage and monitor research students effectively; iv) be required to meet with their students regularly; normally at least once in every four weeks for full-time students and once in every six weeks for part-time students. These meetings shall have a minimum duration of one hour; The University of Northampton Research Degrees Handbook (A )

14 v) be given time by the Executive Dean of School to undertake supervisory responsibilities to ensure that the quality of supervision is not put at risk as a result of an excessive volume and range of responsibilities. A4.2 Internal Supervisors Internal Supervisors shall be: i) research active members of staff; ii) located within a robust and coherent research environment where there are at least three other internal members of research active staff. In addition they will either be experienced in successful supervision or have undertaken (or be undertaking) the programme of training for new supervisors. Emeritus and Visiting Professors of The University of Northampton may join supervisory teams as second supervisors provided that the requirement for two permanent members of university staff is met. A4.3 External Supervisors A person who is not a member of staff of The University of Northampton but is deemed suitable by the RDC may be accorded the status of external supervisor. The position of external supervisor is an official position and there will be a nominal remuneration paid for by the School (or between Schools for collaborative projects). The external supervisor is not eligible for appointment as the external examiner of any student whom s/he supervises. The external supervisor assists the supervisor in overseeing the work of the student and, in appropriate circumstances, undertakes direct personal supervision. Final responsibility for ensuring the provision of adequate supervision rests with the supervisor. Responsibilities of the supervisor are given in the Code of Practice (see Section B). A5 EXAMINATION, ASSESSMENT AND AWARDS A5.1 Prior to Examination A5.1.1 Notice of intention to submit a thesis Candidates must give to the Graduate School no less than three months notice in writing using the appropriate form of the date on which they intend to submit their thesis, such date to fall within the maximum period of registration as prescribed for the degree; and when giving notice, must state the title of their thesis. Forms should be submitted to the Postgraduate Research Manager. A5.1.2 Appointment of examiners On receipt of the notice of intention to submit (A5.1.1) the Postgraduate Research Manager will write to the supervisory team requesting the nomination of examiners. It is the responsibility of the supervisory team, following consultation with the student, to recommend the examining team. Examiners of candidates for practice based PhDs in the Arts may need to be recruited earlier in the research degree process. The timing of examination of the practical component will be indicated at Transfer of registration. The University of Northampton Research Degrees Handbook (A )

15 As a minimum, two appropriately qualified examiners shall be appointed at least one of whom is external to the institution. At least one of the examiners will have previous experience of examining in the UK at the level of the degree being examined. None of the student s supervisors shall be appointed as an examiner. Normally researchers who have had a substantial direct involvement in the student s work or whose own work is the focus of the research project shall not be appointed as internal or external examiners. The following criteria shall be taken into consideration when considering the appointment of external examiners. i) The level of the nominee s qualifications. The nominee should normally hold a degree at least at the level of the degree being examined; ii) The nominee s experience of examining in the UK at the level of the degree being examined; iii) The nominee s expertise and reputation in the area of the research being examined; iv) The relevance of the nominee s recent publications to the field of study. A nominee shall normally be excluded from acting as an external examiner if: i) They have had a substantial direct involvement in the student s work or their own work is the focus of the research project; ii) They have been on the student s supervisory team either as a supervisor or an external advisor; iii) They have been employed by the University within the last five years; iv) They have been awarded a research degree by the University within the last five years; v) They have acted as external examiner for a research degree on more than two occasions within the past five years. In highly specialised research fields, it may be appropriate to appoint the same external examiner more than twice within five years. In such exceptional circumstances, the Research Degrees Committee must be convinced that there is not another appropriate external examiner. Nominations for the examining team are forwarded to the relevant Research Degrees Board, together with a rationale for the team, brief CVs detailing their examining experience, an indication of their area of subject expertise and their independence from the project. Nominations must be made using the relevant form. Following approval by the Research Degrees Board the nomination for the team will be forwarded to the Research Degrees Committee which, if satisfied, will make the necessary recommendations to Senate. A5.1.3 Mock viva voce examination Prior to submission of the thesis the student should have undertaken a mock viva voce examination. This is the responsibility of the Director of Studies, in conjunction with the School s or Division s research leader. A5.2 Submission of the thesis A5.2.1 Requirements at submission Two soft bound copies of the thesis should be submitted to the Postgraduate Research Manager with the following forms which can be found on the Graduate School website or can be obtained from Postgraduate Research Manager: i) British Library Form ii) Thesis Consent Form iii) Statement of Originality Form iv) Notification of Results Form The University of Northampton Research Degrees Handbook (A )

16 A5.2.2 Supervisors approval of submission It is strongly recommended that candidates submit their thesis with the approval of their supervisory team. The supervisory team shall complete the Approval of Submission form and submit it to the Postgraduate Research Manager to confirm that they have seen the candidate s thesis in its entirety and that they are satisfied that it is of a standard suitable for examination. If the student wishes to submit against the advice of the supervisory team they may do so but the Approval of Submission form should be completed to that effect and submitted to the Postgraduate Research Manager. A5.2.3 The thesis In the context of Practice-based PhDs in the Arts, thesis is understood to denote the totality of the submission which may comprise a practical component (e.g. fine art exhibition, design, creative writing, musical composition, film, dance and performance) accompanied by an analytical commentary that sets the work in its relevant theoretical, historical, critical and design context. The analytical commentary shall conform to the usual scholarly requirements and be of an appropriate length. For PhDs with a practical element the final submission shall be accompanied by some permanent record of the practical component of the thesis (for instance, video, photographic record, CD_ROM, DVD_ROM, diagrammatic representation of the creative work), where practicable, bound with the analytical commentary in accordance with University regulations. For PhD by means of published work the thesis shall be deemed to be the published works and the critical appraisal. Where the format of the published works makes binding problematic a resolution should be agreed by the Postgraduate Research Manager. The thesis must be accompanied by a statement signed by the candidate certifying that it is the result of work mainly done during the period of registration, and that in the case of conjoint work a substantial part of the thesis is the original work of the candidate. Where the thesis (i) incorporates material submitted for another degree and, or (ii) includes conjoint work the extent of the material affected must be clearly stated. Theses must be typed or word processed and printed. The following requirements must be strictly observed: Colour of cover Page size Page layout Spacing Inner margin Head, foot and outer margins Explanatory footnotes Bibliography Title page Standard Green A4 (210 X 297 mm) one side of paper only to be used double or one-and-a-half 35 mm minimum 15 mm minimum to stand at the foot of relevant pages to follow text and any appendices to include, as well as the full title of the thesis, the degree for which the work is submitted, the year of submission and the candidate s name. The binder should be supplied with a short title to show on the spine of the bound copies The University of Northampton Research Degrees Handbook (A )

17 A5.2.4 Word limits The length of the thesis should not normally exceed the following (theses word limits to exclude the appendices and footnotes): PhD (Social Science, Business and Education and Arts & Humanities) PhD (Science) MPhil (Social Science, Business and Education and Arts & Humanities) MPhil (Science) words words words words For candidates for the degree of PhD by means of published works, the critical appraisal shall be between 7,500 and 15,000 words in length. The total submission for the award of PhD by means of published work should normally represent the equivalent amount to that contained in a traditional PhD thesis in the appropriate discipline as specified above. Supervisors of science students undertaking interdisciplinary research degrees or using social scientific methods may seek permission from the RDC for the maximum thesis word limit of 80,000 words for a PhD and 50,000 words for an MPhil. Such requests should be made to the Research Degrees Board in the first instance. If considered to be an appropriate request, the chair of the RDB should seek approval from the RDC. Following the viva voce examination, after any changes have been made to the thesis (if required), one case bound (hard bound) copy and (for students who enrolled after 1 st January 2008) one electronic copy of the thesis must be submitted to the Postgraduate Research Manager at the Graduate School. The electronic copy will be deposited in NECTAR, the university's open access institutional repository, in accordance with NECTAR's Terms and Conditions. The Postgraduate Research Manager will specify which file formats (e.g. Microsoft Word) and submission media (e.g. DVD) are acceptable for the electronic copy. A5.3 Examination All candidates undergoing assessment for the award of MPhil or PhD must submit a thesis and undergo a viva voce (oral) examination. Following submission of the thesis and approval of the examining team the thesis will be forwarded to the examiners, accompanied by the guidance notes for examiners and a copy of the University's procedures. The University expects that in normal circumstances the examination of a research degree candidate will be concluded within three months of submission. If, exceptionally, there is likely to be a delay the internal examiner should ensure that the candidate and the Postgraduate Research Manager are informed of the situation. Additional Regulations for Practice-based PhDs Where the research is practice based, the presentation of any formally examinable practical component of the thesis can take place at any time after Transfer. Requests for examination of the practical component of the thesis prior to Transfer can only take place exceptionally with the approval of the Research Degree Committee. Where the practical component of the thesis is to be formally examined, the times and places of access of examiners must be broadly established at registration as an advanced postgraduate student and will determine the timescale for the The University of Northampton Research Degrees Handbook (A )

18 nomination of examiners. Where formal examination of the practical component of the thesis takes place prior to the final viva voce, prior to the examination examiners shall be provided with an interim abstract of the practical component. Where formal examination of practical components of the thesis takes place prior to the final viva voce examiners shall not normally offer formal feedback. Where formal examination of practical components of the thesis takes place prior to the final viva voce examiners shall be expected to produce an interim report which may contribute to the final full report. A5.3.1 Responsibilities of the examining team Prior to the viva voce examiners of research degrees should prepare brief independent written reports (about 500 words) summarising the argument of the thesis and commenting on its strengths and weaknesses. A form for this purpose is issued to each examiner. A copy of each report should be submitted to the Postgraduate Research Manager at least 10 days before the oral examination. The internal examiner is responsible for: facilitating the arrangements for the viva voce examination; informing the candidate of minor amendments that are required following examination; ensuring the agreed report complies with guidelines for production and submission to the Postgraduate Research Manager. The external examiner plays an important role in ensuring that the thesis and the knowledge displayed by the candidate are comparable to those of students being examined for the same degree at another University. A5.3.2 Independent non-examining chair An Independent Chair shall be appointed to each viva-voce examination for MPhil, PhD, PhD by Means of Published Works and Professional Doctorate. Independent Chairs are experienced PhD examiners with a sound working knowledge of the University s regulations and procedures for research degrees. The candidate, Director of Studies and the examining team will be notified of the appointed Independent Chair and receive guidance notes on the role of the Independent Chair by the Postgraduate Research Manager. A5.3.3 The viva voce (oral) examination Under normal circumstances, a PhD/MPhil/Professional Research viva will be conducted at the University of Northampton, and consist of the student, the internal examiner, the external examiner and an independent chair. It is possible, by agreement, that the viva could be held elsewhere, provided that all parties are present. In exceptional circumstances where one or more persons cannot be present, it may be possible to use a video link such as Skype. If this is the case, the following guidelines should be followed: 1) The viva should normally be held between two sites only; 2) The student must be accompanied by one of the examiners; 3) All parties must agree in writing to the arrangement, which requires approval from the Research Degrees Committee; All oral examinations are individual events and therefore it is not possible to describe exactly what will happen. The purpose of the oral examination is to enable the examiners to clarify any ambiguities in the thesis, satisfy themselves that the thesis is the candidate's own work, ensure The University of Northampton Research Degrees Handbook (A )

19 that the candidate has sufficient knowledge and understanding of the relationship of his/her own work to the academic discipline and establish that the thesis is of a sufficiently high standard to merit the award of the degree for which it is submitted. It is expected that examiners will try to ensure that candidates are put as much at their ease as possible given the circumstances to enable them to perform to the best of their ability. It is usual that candidates will attend the viva on their own but in exceptional cases the Chair of the examination panel with the agreement of the external examiner may invite one of the supervisors to be in attendance as an observer. The supervisor is expected to attend for the debriefing session immediately following the viva. It is reasonable to expect that the examination may last from one to three hours, depending on the discipline and the topic of the thesis. A5.4 Examination Outcomes A5.4.1 Possible recommendations Examiners may make the following recommendations: i) award of the degree of PhD; ii) award of the degree of PhD, subject to corrections and minor amendments; iii) award of the degree of PhD, subject to amendments; iv) referral for resubmission of the degree of PhD; v) award of the degree of MPhil; vi) award of the degree of MPhil, subject to corrections and minor amendments; vii) award of the degree of MPhil, subject to amendments; viii) referral for resubmission of the degree of MPhil; ix) fail. Where a degree is awarded subject to corrections and minor amendments it is expected that these will be completed and submitted to the internal examiner within one month. It is expected that minor amendments will be largely typographical or grammatical and may include corrections to references and diagrams. They may also involve the minor re-writing of small sections. Where a degree is awarded subject to amendments these should be completed within three months. The examiners shall determine whether the amendments are to be approved by the external examiner and/or the internal examiner. Where the work involved includes further research or the re-writing of large sections of the thesis it is likely that a thesis will be referred. Where a referral is recommended examiners should specify the time limit (resubmission to take place in not less than three months and not more than two years), and whether a further oral examination is required. The resubmission fee is 130 for a PhD and 90 for an MPhil resubmission. Candidates for the degree of PhD by means of published works shall only be referred in relation to the critical appraisal. Where the examiners recommend a fail, candidates may not register a new submission for a PhD within a period of three years from the date of the original examination. Any further submission must include evidence of additional work and must be approved through the registration procedure laid down in A3.5. Where the examiners are in the position of choosing between a recommendation for resubmission and the award of a lower degree the examiners may, if they so wish, take account of the candidate's wishes. The University of Northampton Research Degrees Handbook (A )

20 Following re-examination of a referred thesis, examiners may make any of recommendations listed above except that the thesis cannot be referred for a second time. Outcomes iv) and viii) are not therefore possible following re-examination of a referred thesis. The internal examiner should ensure that the candidate is provided with any details regarding minor amendments or major revisions. In the case of a referral the candidate should also be advised that he/she will receive a copy of the joint examiners' report from the Postgraduate Research Manager at the Graduate School along with confirmation of the arrangements for resubmission. A5.4.2 Doctor of Philosophy (PhD) The QAA has defined the requirements for the award of a doctorate in the form of the descriptor for qualifications at doctoral level (Level 8). Doctorates are awarded to students who have demonstrated: the creation and interpretation of new knowledge, through original research or other advanced scholarship, of a quality to satisfy peer review, extend the forefront of the discipline, and merit publication; a systematic acquisition and understanding of a substantial body of knowledge which is at the forefront of an academic discipline or area of professional practice; the general ability 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; a detailed understanding of applicable techniques for research and advanced academic enquiry. Typically, holders of the qualification will be able to: make informed judgements on complex issues in specialist fields, often in the absence of complete data, and be able to communicate their ideas and conclusions clearly and effectively to specialist and non-specialist audiences; continue to undertake pure and/or applied research and development at an advanced level, contributing substantially to the development of new techniques, ideas, or approaches; and will have: the qualities and transferable skills necessary for employment requiring the exercise of personal responsibility and largely autonomous initiative in complex and unpredictable situations, in professional or equivalent environments. The PhD should be awarded to a candidate who has presented and defended a thesis, by viva voce examination, to the satisfaction of the examiners. In order to be awarded the degree of PhD it is expected that a candidate's thesis will be clearly and concisely written, well argued and show a satisfactory knowledge of primary and secondary sources. It should also reflect research which could reasonably have been carried out within three years of full-time registration or the equivalent part-time period. There should be a full bibliography and a description of the methods and techniques of the research. The thesis should demonstrate a significant and original contribution to a specialised field of inquiry demonstrating a command of methodological issues and engaging in critical dialogue with peers. It should contain work which is deemed worthy of publication although not necessarily in the form presented. The examiners may recommend that a candidate shall pass either for the degree of Doctor of Philosophy or for that of Master of Philosophy or shall fail, or shall be referred with a view of The University of Northampton Research Degrees Handbook (A )