CODE OF PRACTICE FOR RESEARCH DEGREES

CODE OF PRACTICE FOR RESEARCH DEGREES Contents Page 1. Introduction 2. Admission to the Doctoral School 3. The stages of the doctoral programme 4. The responsibilities of the supervisor and the student 5. The role of the advisory panel 6. The responsibilities of the Director, Postgraduate Research Supervision 7. The role of the Departmental Postgraduate Research Tutor 8. The responsibilities of the Doctoral School 9. Criteria for the appointment of supervisors 10. Procedure for dealing with complaints or grievances 11. Appeals against the results of final thesis examination Appendix 1 Appendix 2 Appendix 3 Appendix 4 Annual progress reviews Special progress review status Research governance and ethics Intellectual property rights 1

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1. Introduction This Code of Practice provides a summary for research degree students and their supervisors of the responsibilities, expectations and requirements for the completion of each research degree programme offered by the Doctoral School at the Institute of Education. This should ensure that all research degree students understand their own role, entitlements and responsibilities, and that they receive effective and constructive supervision, so that the full potential of their research may be realised and they may complete their research within the prescribed period of study for the degree concerned. Some sections of the Code of Practice for Research Degrees apply only to students on doctoral programmes (MPhil/PhD, Online MPhil/PhD, EdD and DEdPsy), and not to students on postgraduate research masters-level degrees. In these cases, this is clearly indicated at the start of the relevant sections. Hereafter, MPhil/PhD refers to both the face-to-face and Online MPhil/PhD unless otherwise stated. The Code should be read in conjunction with the Institute s regulations and the regulations for each of the doctoral degrees, as well as the student handbooks and guidance procedures issued each year by the Doctoral School, in particular the: Doctoral School Induction Guide MRes Handbooks PGDip Handbooks EdD Handbooks DEdPsy Handbook MPhil/PhD Handbook MPhil/PhD Research Training Programme Student Guide to Institute Policies and Procedures Copies of any forms mentioned in the handbooks are available from the Doctoral School. The handbooks and regulations for each of the degrees are available on the IOE website click on http://www.ioe.ac.uk/doctoralschool and go to Study. 3

2. Admission to the Doctoral School The Doctoral School has academic responsibility for all applications for research degree programmes at the Institute of Education. Guidance on making an application for a research degree, as well as details of entry criteria, can be found here: http://www.ioe.ac.uk/studentinformation/35229.html Research degree admissions staff assess all applications for eligibility, and acceptance of the applicant is confirmed by the Departmental Postgraduate Research (PGR) Tutor prior to offers being made. The Doctoral School and Departmental PGR Tutors meet regularly to review application procedures and share good practice around admissions. 4

3. The stages of the doctoral programme. Registered students are expected to comply with the Institute s General Academic Regulations (available on the IOE web site at http://www.ioe.ac.uk/studentinformation/1055.html) and other relevant regulations including the regulations for the degree for which they are registered. They should also adhere to the policies and procedures laid down in the Student Guide to Policies and Procedures issued annually by the Institute. 3.1 Period of registration Periods of registration have regulatory force. Exceptionally, the Dean of the Doctoral School may grant permission for a longer period of study, but this is granted only in exceptional cases which have the unequivocal support of the supervisor, the PGR Tutor of the department in which the student is registered, and the Director, Postgraduate Research Supervision. In these cases, the maximum period of registration shall not exceed ten years from the initial date of registration. Doctor of Philosophy (PhD) or Master of Philosophy (MPhil) The expected period of registration for the MPhil or PhD is: 3 to 4 calendar years of full-time study, or 5 to 7 calendar years of part-time study, or a mixture of full-time and part-time study. The minimum period of registration for the MPhil/PhD is two calendar years of full-time study or three calendar years of part-time study. The maximum period of registration for the MPhil/PhD is: 4 calendar years of full-time study, or 7 calendar years of part-time study. For students undertaking a mixture of full- and part-time study, the maximum period of registration is the equivalent of 21 terms of part-time study, with each full-time term being the equivalent of two part-time terms. Doctor in Education (EdD) The expected period of registration for the EdD is: 4 to 7 calendar years of part-time study The minimum period of registration for the EdD is four calendar years of part-time study. The maximum period of registration for the EdD is 7 calendar years of part-time study. Doctor in Educational Psychology in Professional Educational, Child and Adolescent Psychology (DEdPsy) 5

The minimum period of registration for the DEdPsy is three calendar years of fulltime study and shall not normally exceed four years of full-time study. Masters in Educational and Social Research (MRes) The minimum period of registration for the MRes is one calendar year of full-time study or a mixture of full-time and part-time study, or two calendar years of parttime study. The maximum period of registration for the MRes is four calendar years. Postgraduate Diploma in Social Science Research Methods The minimum period of registration for the PGDip is one calendar years of fulltime study and shall not normally exceed two years of full-time study. 3.2 Pattern of study The patterns of study for the PGDip, MRes, EdD and DEdPsy programmes are as stated in the programme handbooks. The expected pattern of study for MPhil/PhD students is stated in the Research Training Programme handbook. Any variation to this must be approved at the application stage, and must demonstrate that the requirements of the programme will still be met. Once the student registers, any substantial departure from this must be approved by the supervisor and endorsed by the Departmental PGR Tutor. Progress against projected milestones (such as upgrade) will also be formally addressed as part of the annual progress review. Applications to vary patterns of study will be considered on a case-by-case basis. 3.3 Interruption of registration Students should normally be continuously registered for their degree. In exceptional circumstances, there may be reasons which necessitate an interruption in study. In such a case the formal written approval of your supervisor and the Departmental PGR Tutor must be obtained and the Doctoral School must be informed in writing in advance of the period of interruption: retrospective requests for interruptions will not be approved. In the case of the PGDip, MRes, EdD or DEdPsy the Programme Leader is also consulted. Requests for interruptions should be made using Form DS/1, which is available here: http://www.ioe.ac.uk/ds1_interruption_of_studies(1).pdf Students who interrupt their registration for more than two terms are required to submit a detailed written statement for consideration by their supervisor prior to re-registration, outlining the work they have completed towards their research and including a formal plan and timetable as to how the research will be completed. 6

The Institute reserves the right to refuse to re-register a student, particularly if the interruption in registration is more than two years and there is insufficient evidence of the student s ability to complete the degree successfully. Moreover, the Institute will automatically cancel the registration of students who have not enrolled for their degree programme for three years or more unless the Institute has approved exceptional arrangements in advance. It is therefore imperative for any student who is unable to return after an approved period of interruption to seek an extension of the interruption, giving reasons and a revised timetable and completion date. Students should apply via their programme administrator in the Doctoral School who will consult the appropriate Departmental PGR Tutor and their supervisor for a decision in their case. In the case of the PGDip, MRes, EdD or DEdPsy, the Programme Leader is also consulted. 3.4 Progression monitoring The Doctoral School requires Departmental PGR Tutors to review the progress of all students on the MPhil/PhD, EdD or DEdPsy programmes throughout their studies, and expects students to actively monitor their own progress. This includes: satisfactory completion of any assignments according to the specified or agreed timetable; the upgrading procedure for MPhil/PhD students; formal review prior to the student embarking on EdD thesis; completion of all yearly academic and practical assessments for the DEdPsy; independent reading of thesis; and a formal written annual review of students progress which is undertaken through their department. As part of this process, students should review their own development and their plans for ongoing training in research and generic skills on a regular basis with their supervisor. Supervisors should indicate as accurately and honestly as possible whether they consider their student has made satisfactory progress as part of the annual progress review process. A student may only re-register the following year if the Doctoral School receives confirmation from the student s Departmental PGR Tutor that the annual progress review has been completed and that their supervisor has confirmed satisfactory progress and permission to re-register. If the student s performance at any point is considered to be unsatisfactory, the PGR Tutor may consider that the student should be advised to have a period of special progress review (see details in Appendix 2), complete specified tasks 7

before re-registration or terminate registration for the degree concerned. Except as set out in 3.5 below, the Director, PGR Supervision will provide the student with written confirmation of the decision, indicating clearly any work to be done and deadlines to be met as necessary. A copy will be passed to the Head of Academic Administration with a confidential written report of the discussions and the advice given to the student. For students on the PGDip and MRes, progress is monitored by the Programme Leader with the support of the supervisor, where appropriate. 3.5 Termination of Registration In accordance with paragraph 8.1.3 of the Institute s General Academic Regulations, the Departmental PGR Tutor may consider that the student s registration on the MPhil/PhD, EdD or DEdPsy programmes should be terminated or that the student should transfer registration to a lower level award. This may be, for example, related to performance in: MPhil/PhD upgrade written assignments EdD and DEdPsy formal progress review special progress review annual progress review Such a decision will not normally be reached without full discussion (at a meeting, via email or in writing) having taken place between the student, the supervisor and the Departmental PGR Tutor, and with due consideration of extenuating circumstances. The supervisor should also consult the student s advisory panel before a final decision is reached. On behalf of the Departmental PGR tutor, the Director, PGR Supervision will write to the Head of Academic Administration requesting that the student s registration on the programme be terminated. A written report of the outcome of the discussions and advice given to the student will also be passed to the Head of Academic Administration who will then write to the student. Where a student s registration is to be terminated or the student is asked to transfer to a lower level award, the date of termination of registration on the doctoral programme will be in accordance with the decision of the Director, PGR Supervision, and providing any appeal submitted by the student has failed, or the time for making such appeal has passed. Students on the PGDip and MRes who fail to make satisfactory progress may also have their registration terminated, in accordance with paragraph 8.1.3 of the Institute s General Academic Regulations. In these cases, the Programme Leader will consult with the supervisor or other appropriate colleagues and will write to the Head of Academic Administration requesting that the student s registration on the programme be terminated. The Dean of the Doctoral School will be required to approve any termination of registration on the PGDip and MRes. 8

A student who wishes to make an appeal against a decision to terminate his or her registration on a programme should do so under the Student Complaints Procedure). http://www.ioe.ac.uk/studentinformation/documents/about_policies/formal_stud ent_complaints_procedure_2012-13.pdf Students who wish to terminate their own registration, including when transferring to another institution, and who later wish to return to the Institute, will be required to make a new application for research degree study. 3.6 Thesis examinations Students on the MPhil/PhD, EdD and DEdPsy programmes are expected to enter for the examination of their thesis at least four months prior to the proposed submission date. Submission should normally be within the expected period for completion of the degree as specified under the Period of Registration (Section 3.1). The final decision to submit a thesis in any particular form rests with the candidate alone. However, the Institute expects students to take the advice of their supervisor, and other reviewers as appropriate, as to when the thesis is ready for submission. The thesis may be submitted on or after the first day of the month following that in which the minimum period of registration as specified in the degree regulations is completed. A student should normally submit the thesis within one year of the end of his or her period of registration for the degree. A student wishing to submit the thesis outside this period must have the support of his or her Departmental PGR Tutor and the Academic Registrar to do so. Students registered for the PhD by Publication: submission must normally be within one calendar year of initial registration. 9

4. The Responsibilities of supervisors and students 4.1 Establishing the relationship From the beginning of each student s programme, student and supervisor(s) should discuss and establish a productive working relationship which will be subject to ongoing discussion and review. The supervision arrangements and progress should be discussed and reviewed formally at the time of the annual progress review. Matters which need to be discussed and agreed include: Contact mode and frequency of contact (Skype/Lync, email, phone, post, in person) and expected response times; Feedback on written work (written or oral, amount of detail expected, timing); Conduct of meetings (degree of formality, time-keeping, who keeps the records of the meeting); Deadlines (who sets them, how they are changed); Joint supervision (who participates in which meetings, which supervisor is responsible for different aspects); Parameters for supervisory discussions (e.g. possibility of discussing time management, writing skills, ICT skills, personal matters, in addition to matters central to the research); The process of review and evaluation; Examination arrangements and how these operate in the Institute. NOTE: The Doctoral School provides regular sessions for students which focus on establishing the supervisory relationship. 4.2 Responsibilities in general Role of the supervisor(s) The appointed supervisor is responsible for providing academic leadership to the student. Where joint supervision is arranged, one of the supervisors will be the main supervisor (at least 60%) whose responsibilities will include communication with the Institute administration. The supervisors are expected to liaise closely on all aspects of the student's research, and agreement must be reached on the readiness of the thesis for submission for examination and on the nomination of the examiners. 10

The supervisor(s) should engage in development activities (including attendance at Doctoral School seminars or workshops on research supervision offered by the Doctoral School) that equip him or her to provide effective support in the supervisory role. Role of the student The student is a member of the academic department of his/her supervisor, or main supervisor where there is more than one supervisor (or of the Department of Psychology and Human Development, in the case of DEdPsy students) and will act as a responsible member of the academic community. The student is responsible for his or her own research activity, for satisfying the requirements for the degree, and for giving the necessary time and effort to the degree. The student will take responsibility for the direction of and innovation in the research project as it develops, with support from the supervisor(s). The student will take responsibility for working with his or her supervisor(s), staff in the Doctoral School and colleagues to make good progress in his/her research degree. 11

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4.3 Working relationship The supervisor: agrees clear systems for regular contact, ensures supervisory notes are kept and reports on the supervisory process. works with the student to establish a clear timetable and work plan which is kept under regular review to ensure that the student completes the degree within the prescribed period. initiates regular discussions about the model of supervision and agrees the most helpful mode of support for the student. maintains contact with the student through regular supervisions, which for students on the MPhil/PhD, EdD and DEdPsy programmes is expected to be: 9-15 times a year for a full-time student; 6-9 times a year for a part-time student; These supervisions may average out across the duration of the student s registration on the degree programme, since it is accepted that at some stages of the research process contact with the supervisor will be more intense than at others. Students on the MRes can expect to receive 15 hours of supervisory support for a dissertation of 60 credits, to include tutorials and formative feedback. MRes students are required to attend group dissertation sessions in addition to individual supervisions. where a student fails to submit work, participate in supervision sessions or maintain contact as expected, contacts the student to establish whether progress has been made according to the agreed timescale and pattern of study. ensures written records of the supervisions are kept so both student and supervisor are clear on action to be taken and to help in the monitoring process. requests written work as appropriate, and returns such work with constructive criticism and in reasonable time (i.e. normally within 3 weeks) or makes arrangements for feedback to be provided. in consultation with the student and the student s advisory panel, makes appropriate arrangements for supervisory cover during periods of absence/study leave/overseas visits, or if a change in the supervisory relationship is needed for any other reason. takes the initiative in raising problems or difficulties and encourages the student to express his/her views freely. 13

The student: discusses and agrees with the supervisor the most appropriate model of supervision and the type of guidance/comment he/she finds most helpful. in consultation with the supervisor establishes a clear timetable and work plan which is kept under regular review to ensure the degree is completed within the prescribed period of study. initiates arrangements for meeting with the supervisor and agrees with the supervisor a schedule of meetings. keeps a written record in his or her portfolio of discussions with the supervisor and takes action on guidance and feedback as necessary. engages with the agreed tasks and allocates appropriate time to the research and writing. maintains regular contact with the supervisor. submits written material as required in sufficient time to allow for comments and discussion. takes the initiative in raising problems or difficulties, however elementary they may seem. seeks to ensure that the supervisor(s) and members of the advisory panel make adequate arrangements for supervisory cover and that changes in supervisory relationships are made, as and when necessary, throughout his/her full period of registration. engages actively in the review process and plays an active role in planning and reviewing her/his own progress. 14

4.4 Doctoral training and research training plan The supervisor: discusses with the student his or her research and generic skills and personal development plans, taking account of the Institute s training requirements for the degree concerned and reviews them with the student at the end of each year. in the case of an MPhil/PhD student, familiarises him/herself with the content and aims of the core research training courses and offers guidance on the advanced or specialist courses which would be appropriate to the student s research. in the case of an EdD student, offers guidance on the assignments where appropriate, receives a copy of the student s feedback on assignments, and supports the development of the student s work throughout the degree. The student: discusses with the supervisor each year his or her personal development and training plans, taking account of the Institute s research training requirements for the degree concerned. participates in the courses on the research training programme and other appropriate courses as agreed with the supervisor. maintains a personal development portfolio including reflective statements from the annual progress review and records of supervisions and papers published or presented at conferences. 15

4.5 Research The supervisor: assists the student in defining a topic of research which can be completed and written up within the prescribed period. provides an overview and guidance on the structure of the completed thesis or dissertation and guides the student through to completion. gives guidance on: the nature of research and the standard expected (including advice on presentation and writing style); the planning of the research, literature and sources, participation in the research training programme for the degree and other taught courses, as necessary; techniques which may be needed and research methods to be used by the student; other sources of advice and expertise; the ethical soundness of the research and on seeking ethical approval prior to undertaking data collection (see Appendix 3); ensures that the student is aware of: the criteria for the award of the degree; any ethical and legal issues connected with the research; the need to reference appropriately and to absolutely avoid plagiarism at all times, and to be aware of the Institute s Code on Citing Sources and Avoidance of Plagiarism (http://www.ioe.ac.uk/studentinformation/documents/about_policies/c ode_on_citing_sources_and_avoidance_of_plagiarism_2011-2012.pdf); the maximum word length of the thesis or dissertation; for students on the MPhil/PhD, EdD and DEdPsy programmes, the need for open access to the completed thesis. 16

The student: defines the area of research, completes the literature review, acquaints him/herself with the background knowledge needed and produces a detailed timetable for the completion of the research project. writes a clear and detailed research proposal prior to embarking on the research for the thesis or dissertation. abides by the Institute s Code on Citing Sources and Avoidance of Plagiarism and keeps the legal and ethical considerations under review throughout his or her research. prior to embarking upon empirical work or fieldwork (data collection): identifies the research methods and procedure for data collection seeks approval from the supervisor; obtains ethical approval (see Appendix 3); where necessary, applies in good time for a disclosure through the Disclosure and Barring Service if the research involves working with children and vulnerable adults in the United Kingdom, by emailing admissions@ioe.ac.uk; ensures he/she is familiar with the regulations and criteria for the award of the degree for which he/she is registered. 17

4.6 Progress This section applies only to the MPhil/PhD, EdD and DEdPsy research degrees The supervisor in consultation with other members of the student s advisory panel: advises on the necessary completion dates for successive stages of the thesis to ensure completion within the prescribed time. gives the student an evaluation of the quality of the doctoral work on a regular basis and, where appropriate, advises the student on the work required of him/her for key stages, e.g. upgrading from MPhil to PhD; formal review of progress of EdD/DEdPsy students. makes arrangements for formal review (EdD/DEdPsy), upgrade (MPhil/PhD) and independent reading of draft thesis at the appropriate stages of the programme. advises the student in writing of any concerns about inadequacy of progress or unsatisfactory performance in order that any difficulties may be resolved at an early stage, and so that the student has a clear understanding of his/her progress. formally reviews the student s progress each year and completes an annual progress review form for consideration by the student s advisory panel and subsequently the Departmental PGR Tutor. informs the Departmental PGR Tutor whether the student has made satisfactory progress to warrant continued registration. takes appropriate action to ensure the student receives appropriate guidance if re-registration has not been recommended (see page 7 and Appendix 2). The student: reviews his/her progress on the research project on a regular basis in relation to the schedule for completion of the thesis agreed with the supervisor. actively seeks guidance and feedback on the research, including any issues of concern. prepares for formal review (EdD/DEdPsy), upgrade (MPhil/PhD) and independent reading of draft thesis at the appropriate stages of the programme. gives due consideration to the comments and suggestions, written or verbal, made by the supervisor. Whilst students are not under any obligation to agree with them or adopt them, students are strongly encouraged to take seriously any recommendations made. 18

completes the annual progress review form, giving a thorough and reflective report on activity and progress made during the previous academic year, as well as a review of his/her existing professional skills and competences and personal development plan, for consideration by his or her advisory panel and the Departmental PGR Tutor. 19

4.7 Research environment The supervisor: arranges for the student to talk about and present his or her work in research seminars, at conferences (internal and external to the Institute) and, as appropriate, to other members of staff. advises on intellectual property rights. provides support in the publication process, including how to choose appropriate publication outlets, how to prepare a manuscript for publication and deal with editors and referees comments and issues relating to intellectual property rights. acknowledges the contribution of the student to any published work. The student: actively contributes to the intellectual life of the Institute and the Doctoral School. keeps the supervisor informed of other individuals with whom the work is being discussed, including members of his or her advisory panel in the case of students on the MPhil/PhD, EdD and DEdPsy programmes. makes every effort to ensure the wide dissemination of his/her research through contributions to conferences (both internal and external to the Institute). acknowledges the contribution of the supervisor to the research in any published work. with support from the supervisor, arranges for his/her work to be published as and when possible. 20

4.8 Examination of thesis This section applies only to the MPhil/PhD, EdD and DEdPsy research degrees. The supervisor must be familiar with the current regulations for the conduct of the viva voce examination and the appeals procedure for doctoral degrees should explain clearly the examination arrangements and timing to the student within formal supervision time and should ensure that the candidate has experience of formally presenting his/her research when the work is nearing completion arranges for the student to receive appropriate formative feedback from colleagues (the Independent Reader ) prior to the student entering for examination makes it clear in writing, at the time the student is due to submit the thesis (and institution focused study report for EdD students), if it is believed the student s work is not of doctoral standard or is not yet ready for submission. ensures the student adheres to the maximum word length for the thesis as specified in the degree regulations. ensures that the student completes the examination entry forms at the appropriate time (at least four months before submission of the thesis). takes responsibility for the nomination of the most appropriate examiners when the entry form is submitted and for the practical arrangements for the viva voce examination after the examiners have been approved by the Board of Examiners for Doctoral Awards. participates in the viva voce examination as an observer, provided that the student so agrees. is available after the viva voce examination to (a) clarify any outcomes which the student may be unsure about, including advice about how to appeal should this be necessary, and (b) offer advice on revisions to be made to the thesis in accordance with the recommendations of the examiners. ensures that the examiners submit their joint report within a reasonable period. The student: is familiar with the degree regulations for conduct of examination for the research degree being undertaken. 21

takes account of the supervisor's advice on the submission of the thesis, and ensures, in discussion with the supervisor, that he or she has a realistic time scale for the final stages of the degree. submits work as required for formative feedback prior to examination entry and takes account of feedback received in revising the thesis; completes and submits the examination entry forms at the appropriate time (at least four months before submission of the thesis). is ultimately responsible for the submission of the thesis. ensures that the thesis submitted for examination includes a statement of the exact word count, having taken account of the relevant degree regulations on the maximum word limit. Where necessary, seeks approval for an extension of the Institute s word limit through the supervisor. ensures that the submitted thesis includes a signed statement of authenticity. clearly understands that a supervisor s agreement to the submission of the thesis for examination does not guarantee that the submission will lead to the award of the doctoral degree. 22

5. The role of the advisory panel This section applies only to the MPhil/PhD, EdD and DEdPsy research degrees. Advisory panels are small teams of supervisors (at least three and not more than five) with collective responsibility for monitoring the progress of students under their supervision. A student s advisory panel is the panel to which his/her main supervisor belongs. Note that advisory panel members are not usually directly involved in the supervision of each other s students. Advisory panels have the following responsibilities: to oversee the annual review process and to ensure regular monitoring of progress; to ensure continuity of supervision in the event of the supervisor leaving the Institute or being absent, e.g. on sick leave or study leave; to provide for one member of the advisory panel to carry out the ethical review of research prior to commencement of data collection or fieldwork; to oversee the process of upgrading from MPhil to PhD and participate as required; to oversee the formal review of EdD and DEdPsy thesis proposals and participate as required; to oversee the independent reading of draft thesis and participate as required; to be available to offer guidance to the student at the request of the student s main supervisor. 23

7. The role of the Director, Postgraduate Research Supervision This section applies only to the MPhil/PhD, EdD and DEdPsy research degrees. The Director, Postgraduate Research (PGR) Supervision has responsibility for PGR supervision across the IOE, including responsibility for the coordination and quality assurance of PGR supervision, acting as the principal point of contact between the Doctoral School and Departmental PGR Tutors, and co-ordinating and providing development support for the activity of PGR Tutors in relation to their specific PGR responsibilities. Responsibilities include: Taking a leadership role in relation to PGR supervision across the IOE, especially with respect to defining and reviewing best practice. Co-ordinating and promoting consistency of standards and practices with regard to PGR supervision across the IOE. Overseeing quality assurance for all PGR supervision. Acting as the main point of contact between the Doctoral School and Academic Departments with respect to delivery and development of PGR supervision, liaising with PGR Tutors and where necessary, Heads of Academic Departments. Co-ordinating and providing development support for PGR Tutors in relation to their specific PGR responsibilities. This will include induction, guidance and support for new PGR Tutors; co-ordinating and monitoring responses to new initiatives; providing ongoing advice and support to PGR Tutors; leading the PGR supervisors forum; and initiating and chairing PGR Tutor meetings. Using a range of monitoring techniques to assess the effectiveness of PGR supervision, and to contribute to quality assurance and quality improvement, within the developing frameworks of the Institute and relevant national agencies. Taking a lead responsibility for the PGR admissions process, including helping to circulate hard to place enquiries and applications to potential supervisors, and approving rejections and re-directing strong applications where appropriate. Sharing responsibility with other members of the Doctoral School for supervision case work, including providing support in complex cases, mediating in the setting of conditions for annual progress reviews and special progress reviews, liaising with students who raise issues related to supervision, and advising supervisors and PGR Tutors on difficult cases. Having overall responsibility for Annual Progress Reviews and Advisory Panels. Acting as a role model for PGR supervisors at the IOE. 24

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6. Responsibilities of the Departmental Postgraduate Research Tutor This section applies only to the MPhil/PhD, EdD and DEdPsy research degrees. The overall responsibility of a Departmental Postgraduate Research (PGR) Tutor is to support the Director, Postgraduate Research Supervision and the Head of Academic Department (HoAD) in departmental admissions (including ensuring the appropriate allocation of supervisors), ongoing progression and supervisory arrangements, and provision of research community activities for postgraduate research students Responsibilities include: Maintaining oversight of the status of new postgraduate research applications to the Department and ensure their timely consideration within the Department; answering enquiries from potential applicants and liaising with the Doctoral School and other Departmental PGR Tutors as regards new PGR applications. Identifying (and regularly liaising with) appropriate academic staff within the Department who can supervise new applications, liaising with the HoAD in terms of supervisory workloads and available capacity for supervision. Ensuring the provision of a positive PGR applicant and student experience in accordance with quality assurance and quality enhancement as it relates to the Department. Ensuring the implementation of the Code of Practice for Research Degrees and other Institute policies on Postgraduate Research within the Department. Participating as a member of Departmental committees and to represent the Department at other meetings, as appropriate. Supporting the Director, PGR Supervision in monitoring and facilitating the progression of PGR study within the Department, in particular in relation to IOE regulations regarding the upgrade process and timely completion. Signing off MPhil/PhD upgrades, EdD formal review of thesis proposals, annual progress reviews, and approving any conditions for re-registration. Approving upgrade extensions, change of supervisors, interruptions, thesis submission and nomination of examiners forms, applications to vary mode or pattern of study for MPhil/PhD (new applicant), and applications to change mode or pattern of study for MPhil/PhD (continuing students). Mediating in the setting of conditions for annual progress reviews and special progress reviews; writing to and meeting with students who raise issues related to supervision; and advising supervisors in relation to difficult cases. Supporting the Director, PGR Supervision and HOAD in assuring the quality of postgraduate researcher supervision within the Department and the ongoing allocation of appropriate supervisory arrangements for PGR students. 26

Working with the Director, PGR Supervision, HOAD and Doctoral School to develop a research community and the active involvement of PGR students in the research culture and activities of the Department and Institute, providing pastoral support to PGR students within the Department as required. 27

8. The responsibilities of the Doctoral School In accordance with the Institute s Student Charter, the Doctoral School shall provide a research environment conducive to, and supportive of, high quality research and study. To this end the Doctoral School is responsible for ensuring that the research training, resources and facilities, teaching and supervisory arrangements are sufficient to enable students to complete their research degree satisfactorily and within the Institute s expected registration period. 8.1 Quality assurance within the Doctoral School The Doctoral School aims to bring together postgraduate researchers, staff and research supervisors to provide a supportive and intellectually stimulating environment to promote successful research. Staff include the Dean of the Doctoral School, Doctoral School programme leaders and core academic and administrative staff. The Doctoral School aims to assure quality by: monitoring the quality of supervision, including arranging training and development for supervisors; ensuring the existence and operation of clear, transparent and consistent procedures across the Institute in relation to regular monitoring of students progress, upgrading, examination; developing, sharing and promoting good practice; supporting the highest standards of research and scholarship among students; providing and regularly reviewing the research training programmes to ensure their high quality; supporting Departmental PGR Tutors in their regular monitoring and review of all their students; maintaining close contact with outside bodies such as the relevant research councils and ensuring that provision in the Institute and its doctoral programmes meet the standards set by external bodies, including the Economic and Social Research Council (ESRC) and Arts and Humanities Research Council (AHRC); ensuring that all programmes meet the requirements of the Quality Assurance Agency for Higher Education (QAA) Quality Code and any other external requirements; developing and keeping under review its own policies and procedures, in particular its Code of Practice. The Doctoral School has overall responsibility for quality assurance issues in relation to doctoral programmes and advises Senate or its Teaching Committee or Research and Consultancy Committee as appropriate on: the introduction of research degree programmes, the implementation, interpretation and amendment or suspension of regulations and policies which concern research degrees, the admission of students to research degree programmes 28

the implementation of measures for enhancing the research student experience at the Institute and to make recommendations concerning the resources and support for research students to the appropriate body. the policy in relation to the research education and training offered by the faculties and the Doctoral School, in the light of external requirements such as those of the research councils. all external reports audits and inspections on the quality of teaching and research degree provision and monitoring subsequent plans for improvement; On behalf of Senate it monitors all matters related to students registered in the Institute for research degrees, having regard to University and Institute Regulations and Policies, both pastoral and academic, and for any other research or post doctoral programmes under the remit of the Committee, and to take action where necessary; the co-ordination of research degree work and research education and training activities of the Institute and to ensure the currency and appropriateness of such training, and the preparation of relevant documentation for external assessment or accreditation exercises as they relate to research degree students. The Doctoral School is also responsible, on behalf of Senate: for oversight of the implementation of the Institute s Learning and Teaching Strategy in respect of research students and research education; for oversight of the implementation of Institute strategy and policy in relation to Research, Consultancy and Knowledge Transfer in so far as it relates to research students and research education more generally; for the quality and standards of all teaching and/or research degree provision under the remit of the Doctoral School. The Dean of the Doctoral School has strategic oversight of research student education within the Institute and for ensuring the implementation of procedures through the Doctoral School Committee. The Dean works closely not only with the Doctoral School academic and administrative staff, the Departmental PGR Tutors, Registry and the Head of Academic Administration, but also the Programme Service Managers, Learning and Teaching, and the Directors for the Academic Standards and Quality Enhancement Unit and Research, Consultancy and Knowledge Transfer. The Dean of the Doctoral School and the Doctoral School Senior Management Team take into account the guidance and requirements of external bodies, such as the ESRC, AHRC, the QAA, Higher Education Funding Council for England (HEFCE) and the UK Council for Graduate Education. The Doctoral School adheres to the QAA s Quality Code for Higher Education: (http://www.qaa.ac.uk/assuring-standards-and-quality/thequality-code) The Board of Examiners for Research Degrees reports to the Teaching Committee and is responsible for ensuring that the procedure for the appointment of thesis examiners fulfils its purpose and that those examiners 29

nominated will be able, and be seen to be able, to make a fair and independent assessment of the candidate and his/her thesis. The Board is also expected to ensure that appropriate and consistent standards for the doctorate prevail across the Institute of Education. The Doctoral School aspires to ensure that every student has a positive and successful experience, is treated with respect and dignity, and leaves the Institute with their research degree and a positive view of the institution and his or her time at the Institute. 8.2 Formal consultation The Doctoral Students Consultative Committee, which meets once a term, provides a formal channel for students to raise general issues related to their programme of study. Other channels for consultation include student representatives on the Academic Board and Senate and through the Students Union presidents. 8.3 Annual Evaluation Students are requested to complete an evaluation of their programme and their experience within the Doctoral School; both qualitative and quantitative information is sought and analysed for submission to the Doctoral School and the Teaching Committee for consideration. Departments are also asked to seek comments from their students. A summary report of each evaluation exercise is produced and any action to be taken. In addition, courses provided by the Doctoral School are evaluated individually. The Board of Examiners for Research Degrees, by virtue of its quality assurance responsibilities, regularly reviews systems for obtaining feedback on its programmes. Feedback is also sought from graduates of doctoral programmes and, where appropriate, other interested parties. This information is submitted to the Doctoral School Senior Management Team for consideration and action. 8.4 Good Practice At least once per term the Doctoral School and Departmental PGR Tutors meet to disseminate information and good practice across the Institute. 8.5 Induction and training of supervisors The Doctoral School and academic departments are responsible for ensuring that all supervisors are familiar with the regulations, procedures and practices for supervision relating to the research degree programmes offered at the Institute and that they engage in development activities that enable them to provide effective support in their supervisory role. Formal induction and training are undertaken through academic departments and through Doctoral School seminars and workshops on good practice in supervision. 30

8.6 Monitoring Supervisory Performance The Board of Examiners for Research Degrees has agreed that supervisory performance should be monitored in the following ways: by annually reviewing completion, submission and success rates as an indicator of the effectiveness of student support. The monitoring procedure operates on an individual basis, i.e. in relation to individual supervisors, and where there is cause for concern - for example, if completion rates are lower than expected - the Dean of the Doctoral School consults with the supervisor and/or the Director, PGR Supervision; by monitoring supervision practice as perceived by students through meetings with student representatives, meetings with the Director, PGR Supervision, and annual reviews of students' progress. by requiring departments to seek comments from supervisors on their supervisory experience. 31

9. Criteria for the appointment of supervisors of doctoral students This section applies only to the MPhil/PhD, EdD and DEdPsy research degrees The Doctoral School has approved the following guidelines for the appointment of teaching and research staff as supervisors of doctoral students for their thesis. The Director, PGR Supervision has overall responsibility for ensuring that the criteria are met. This should be undertaken when accepting new research students and when any changes are made to the supervision arrangements for students who have already registered for research degree studies. 9.1 Criteria for acting as sole supervisor of thesis For a member of academic staff to act as a sole supervisor the following criteria should be met: at least three years substantial (i.e. normally full-time) experience of teaching at higher degree level or of research; expertise in the area of the proposed research, demonstrated by one or more of the following: a doctorate in the field; publications; participation in a research project; other experience deemed appropriate by the Dean of the Doctoral School; previous successful experience of supervising students to completion either as a sole or co-supervisor. 9.2 Criteria for acting as joint supervisor For a member of academic staff to be appointed as a joint supervisor the following criterion should be met: expertise in the area of the proposed research, demonstrated by one or more of the following: a doctorate in the field; publications; participation in a research project; other experience deemed appropriate by the Dean of the Doctoral School. It is Institute policy to encourage research staff and those with limited experience to take part in doctoral supervision, and where this is appropriate to the student s research, such staff will be appointed as a co-supervisor with a qualified and appropriately experienced sole supervisor acting as mentor or joint supervisor. 32

9.3 Maximum Number of Students per Supervisor The following guidelines have been approved in the interests of both student and supervisor. The maximum number of students per supervisor is expected to be 6 FTE MPhil/PhD students, or EdD/DEdPsy students at IFS or thesis stage, with a normal maximum student headcount of 10. Jointly supervised students should be included in the part-time figure; The number of doctoral students assigned to individual supervisors should be monitored by the Department to which the supervisors belong; If numbers approach the normal maximum, the Departmental PGR Tutor should review the position in consultation with the appropriate Head of Academic Department or equivalent. This review should take into account: the supervisor s completion rates; workload and the availability of other supervisors in the Department; Interruption of a student s registration for a period of more than a term, or transfer from full- to part-time registration (or vice versa) is taken into account in calculating numbers; When an EdD or DEdPsy student is undertaking the taught courses, the supervisory load will be less than at the IFS/thesis stage. Supervision of students registered at other institutions should also be recorded and monitored. The maximum number of students per supervisor may be reduced in the case of new supervisors, and will be agreed in conjunction with their Head of Academic Department and the Departmental PGR Tutor. 9.4 Supervisor s position in relation to the Institute When deciding who should supervise a doctoral student the Institute will take into account the projected length of time it will take the student to complete the degree, particularly in the circumstances indicated below: where a member of staff has a contract which will not cover the period of the student s registration (with no likelihood of extension), or is due to move to a post outside the Institute, or is an Associate Professor for a limited period of time at the Institute. All such cases are considered individually and cosupervision will normally be advised. where a member of staff is a research officer, agreement must be obtained from the officer s project head for the person concerned to take on cosupervision. where the proposed co-supervisor is working for another institution. All such cases should be discussed with the Head of Academic Administration before any formal contract is made with the other institution. This arrangement will normally only be made if it is essential that expertise is obtained in a particular area, which cannot be covered by the Institute. Arrangements would then need to be made regarding the fee arrangements. 33

9.5 Change of Supervisor There are a number of reasons why a temporary or permanent change of supervisor might be necessary. The Departmental PGR Tutor, liaising with the student s advisory panel, is responsible for ensuring that appropriate back-up supervisory arrangements are in place for each student to cover contingencies such as study leave or illness which necessitate the temporary absence of the supervisor. In the event of the supervisor leaving the Institute, a permanent change of supervisor is normally required, unless the student is very near to completion, when it may be possible to arrange for work to continue with the supervisor for a short period after he or she has left the Institute. The Departmental PGR Tutor, in consultation with the advisory panel, will assume responsibility for the appointment of a replacement supervisor, taking into account the student's progress and needs and the expertise required. The back-up arrangements, which are in place for all students, will ensure continuing support and guidance. The focus of a student s research will sometimes change and the appointed supervisor may no longer be the most appropriate person to provide guidance on the revised topic. In this case the student should first discuss the situation with the supervisor who will advise on the best way forward. The advice of the Departmental PGR Tutor, or one of the Doctoral School Programme Leaders, or the Head of Academic Administration could also be sought in confidence. It may be that input from another member of Institute staff is needed for a particular aspect of the research and joint supervision or a temporary change of supervisor could be arranged for an appropriate period. If the change in focus is substantial, the appointment of a new supervisor may be necessary. The Departmental PGR Tutor, in consultation with the student s advisory panel, will make arrangements for the student to transfer formally, if appropriate. Any changes in supervision should be reported to the Doctoral School using Form DS/4 (Change of Supervisor), which can be requested from any Doctoral School administrator. In rare cases the research focus changes to such a degree that, on the advice of the Departmental PGR Tutor, re-application with a new research proposal, or transfer or application to another institution may be necessary. If the student is unable to accept the advice of their supervisor because of a fundamental divergence of views, or for some other reason, the student should, if possible, discuss the problem with the supervisor first before making any request for a change. If the situation cannot be resolved by discussion between student and supervisor, the student should seek the advice of other members of the advisory panel and/or the Departmental PGR Tutor, and/or the Director, PGR Supervision. Doctoral School programme leaders are also available to discuss in confidence any difficulties that the student may be experiencing. If the problem is not resolved to the student's satisfaction, he or she should consult the Student 34

Complaints Procedure, which can be found here: http://www.ioe.ac.uk/studentinformation/documents/about_policies/formal_stud ent_complaints_procedure_2012-13.pdf 35

10. Procedure for dealing with complaints and grievances The Doctoral School aims to encourage an open, easy and productive working relationship between students and their supervisors, with good lines of communication and a clear understanding of respective roles and responsibilities. This should enable any problems or misunderstandings in respect of matters relating to the student s research at the Institute to be resolved quickly. In this way it is hoped to prevent any serious issues which may lead to a complaint or grievance. However, a student who is dissatisfied with any aspect of teaching, supervision or other appropriate services provided by the Institute may make a complaint under the Student Complaints Procedure (http://www.ioe.ac.uk/studentinformation/documents/about_policies/formal_stu dent_complaints_procedure_2012-13.pdf. Students who wish to seek a re-consideration of a decision relating to assessed work (excluding the thesis) on the MRes, EdD or DEdPsy programme should follow the process as set out in the Regulations governing representations against decisions of boards of examiners (http://www.ioe.ac.uk/studentinformation/documents/about_policies/2010_regul ations_governing_representations_concerning_decisions_of_boards_of_examin ers.pdf). Students on the MPhil/PhD programme should also refer to these regulations if they wish to request a review of a decision regarding upgrade from MPhil to PhD. Please bear in mind that appeals are not permitted against the academic judgment of the examiners. A student who wishes to submit a request for review of a decision relating to, for example, continuation from the EdD taught elements to the thesis or termination of registration on a programme, should refer to the General Academic Regulations (http://www.ioe.ac.uk/studentinformation/documents/about_policies/2010_gene ral_academic_regulations.pdf). Please contact the Head of Doctoral School Administration or the Academic Registrar for guidance on procedures. For appeals against the outcome of the oral examination of the thesis, please see Section 10. 36

11. Appeal against Result in Thesis Examination This section applies only to the MPhil/PhD, EdD and DEdPsy research degrees Procedures for the consideration of appeals by candidates in relation to the outcome of an oral examination of the thesis can be found here: http://www.ioe.ac.uk/studentinformation/documents/student_information_life/io EVivaappeal2008rev(1).pdf An application under the procedure must be made within two months of written notification of the result of the examination to the candidate. There are also Regulations governing representations concerning decisions of boards of examiners which are applicable to the results in other elements of research degree programmes (http://www.ioe.ac.uk/studentinformation/documents/about_policies/2010_regul ations_governing_representations_concerning_decisions_of_boards_of_examin ers.pdf). The regulations are also available on the web site (http://www.ioe.ac.uk/studentinformation/1055.html). 37

APPENDIX 1 Annual progress reviews This section applies only to the MPhil/PhD, EdD and DEdPsy research degrees Doctoral students and their supervisors are both responsible for providing a review of the student s progress each year. These reviews are usually carried out during the summer. Pro formas are sent to students and to supervisors in May, for completion by the end of June. This process helps the student s advisory panel and the Departmental PGR Tutor to monitor the work being undertaken by the student; to ensure that the student s training, supervision and support needs are being met; and to identify any difficulties which the student or the supervisor might be experiencing. Evaluation of the timetable for the student s research is undertaken on a regular basis by the supervisor and the student: an estimated date of completion is also included on the annual report. For MPhil/PhD students the precise timing of the upgrade could be discussed. Doctoral students are also encouraged to develop both research skills and more generic, transferable skills. These have been identified in the UK Researcher Development Framework for Skills Training (http://www.vitae.ac.uk/policypractice/234301/researcher-development-framework.html). Further information is given in the MPhil/PhD Research Training Handbook. The annual progress review process provides the opportunity for students to reflect on and audit their existing skills and to provide a plan for their professional development for the following year. The Departmental PGR Tutor reviews the annual reports of all students in their Department, and together with the Director, PGR Supervision reviews in detail any reports which give cause for concern, and may request more frequent reports on the student or students in question. The annual review enables the Departmental PGR Tutor to advise the Doctoral School by the end of July whether the student has made satisfactory progress and may therefore re-register the following year. 38

APPENDIX 2 This section applies only to the MPhil/PhD, EdD and DEdPsy research degrees Special progress review status Special progress review status is for those occasions when doctoral students have been unable to make the progress expected. This may be due to personal, professional or academic reasons. The aim is to ensure that students are given support and assistance in a timely way when they run into difficulties, to assist them in completing their degree programme within the prescribed period and to identify at an appropriate stage those few students who are unlikely to complete their studies. There are a number of circumstances under which students may benefit from having a special progress review: these include lack of progress, which may emerge during the course of the annual progress review, failure to complete assignments in a timely way, or consistent failure to meet negotiated deadlines. How the review operates The special progress review period is for three months. The expectation is that during this time supervisor and student will negotiate clear and detailed objectives, in consultation with the advisory panel and the Departmental PGR Tutor. These objectives should be sufficient to constitute a resumption of satisfactory progress. The supervisor will then meet with the student on a regular basis, or be in regular email/skype/lync contact and will provide prompt written feedback to the student on completion of work. The intention is that the student, with support from the supervisor, should meet the negotiated objectives in a satisfactory way within the agreed timescale. At the end of the three month period, the student and supervisor, in consultation with the advisory panel and the Departmental PGR Tutor, will review progress against the agreed objectives and where progress is satisfactory the student will no longer have special progress review status. Where progress is still causing concern, the advisory panel, the supervisor and the Director, PGR Supervision, in consultation with the student, should agree an appropriate course of action. Possible alternatives are: that the student ceases to be registered for a research degree; that the student s special progress review is extended for a further three months, with specific guidance on action to be taken Students will not be allowed more than two consecutive periods of special progress review. 39

Registration status The Director, PGR Supervision must inform the student in writing when it has been decided that he or she should be placed under special progress review. A copy of the letter must be sent to the student s supervisor and to the Head of Academic Administration. This status does not affect the fees which the student has paid for the period of registration covered by this status, except that for students on special progress review it would not be appropriate to pay the writing up fee. All parties must be informed in writing once the period of review has been successfully completed or if it needs to be extended. 40

APPENDIX 3 Research governance and ethics All research at the Institute of Education, including research undertaken by students, needs to be ethically reviewed before data collection commences. Ethical review processes are specified in the Research Governance and Ethics Policy, available on the Research Ethics website (http://www.ioe.ac.uk/ethics/ ). Ethical review is one aspect of ensuring that research is conducted to the highest levels of integrity. This involves responsibilities to participants, institutions, and to the research community. Please ensure that you are aware of the ethical issues involved in research. Ethical issues are especially relevant to the following areas: Determining research aims and who benefits from the research; Handling dual roles (e.g. being a researcher and a professional) and potentially conflicting values; Minimising potential risk or harm to all involved; Gaining access to participants; Ensuring voluntary informed consent; Safeguarding participants; Ensuring confidentiality and anonymity; Giving feedback, reporting results, and dissemination. You should discuss these and other issues with your supervisor and ensure that your research adheres to sound ethical principles. The Doctoral School research methods programme includes sessions focused on ethical issues in research in the social sciences, and these issues are addressed in a number of other sessions within the Research methods courses. Professional codes of practice Many professional organisations have produced codes of ethical practice for their disciplines or areas of work. Please ensure that you are familiar with the code for your discipline or area. You will need to specify and follow one of these codes of ethical practice during your research. You do not have to be a member of a professional organisation to follow their code of ethical practice. Links to the common codes of ethical practice are provided on the Research Ethics website (http://www.ioe.ac.uk/ethics/ ). These include codes from: The British Educational Research Association (http://www.bera.ac.uk/ ); The British Psychological Society (http://www.bps.org.uk/ ); The British Sociological Association (http://www.britsoc.co.uk/ ); The British Association for Applied Linguistics (http://www.baal.org.uk/ ). 41

Ethical review and approval procedures Ethical review and approval are necessary before data collection can commence. Further details, advice and review forms are available on the web site: http://www.ioe.ac.uk/about/policiesprocedures/42253.html. If you intend to conduct research which may raise particular or difficult ethical issues (for instance, work involving vulnerable groups, deception or where consent will not be possible), you are advised to begin the ethics approval process well in advance of your planned data collection. If you need to undertake research involving direct engagement with children or vulnerable adults in the United Kingdom, please remember that you will need to obtain clearance from the Disclosure and Barring Service (DBS; formerly the Criminal Records Bureau (CRB)). For more information, please contact your course administrator or the Registry. Changes and amendments The ethical issues associated with your work should be regularly considered. Changes in research questions, methods, or other areas may have further ethical implications. This may require seeking ethical approval for a second time. Resources and further support A selection of links to further resources and guidance material is available on the website (http://www.ioe.ac.uk/ethicsguidance/ ). Further relevant books and materials are available through the IOE library. 42

APPENDIX 4 Intellectual property rights Research degree students are required to comply with all statutory and Institute requirements relating to intellectual property rights. The concept of intellectual property allows people to own their creativity and innovation in the same way that they can own physical property. The four main types of intellectual property are: 1. copyright for material literary and artistic material, music, films, sound recordings and broadcasts, including software and multimedia. 2. patent a monopoly right, acquired by registration, to prevent any dealing in an original and novel invention during a period of 20 years. 3. trademarks for brand identity of goods and services allowing distinctions to be made between different traders. 4. designs for product appearance of the whole or a part of a product resulting from the features of, in particular, the lines, contours, colours, shape, texture or materials of the product itself or its ornamentation; Copyright ownership may be most relevant to you as a doctoral student and the Doctoral School provides advice on this matter as part of the research training programme. The Institute s Intellectual Property Rights Policy can be found here: http://www.ioe.ac.uk/about/documents/about_policies/intellectualproperty.pdf The Code on Citing Sources and Avoidance of Plagiarism also provides guidance on protecting intellectual property and the copyright of others. (http://www.ioe.ac.uk/studentinformation/documents/about_policies/code_on_citing_s ources_and_avoidance_of_plagiarism_2011-2012.pdf) 43