RESEARCH STUDENT HANDBOOK

RESEARCH STUDENT HANDBOOK December 2010

PREFACE Welcome to research at Anglia Ruskin University. The Research Students Handbook includes information for all doctoral, MPhil, MProf and PGDipProf candidates. I am very grateful to colleagues from across Anglia Ruskin University who have contributed to this handbook. If you have any queries, please do not hesitate to ask your supervisor; your Faculty Director of Research Students; Julie Scott, Research Training and Ethics Manager; Dr Barbara Reid, Research Training; or me. If you require the handbook in an alternative format (e.g. Braille, large print, audio or electronic format) can you please let me know and I will ask the Transcription Services to produce this. I wish you every success in your research. Professor Caroline Strange Assistant Director (Research Support) Research, Development and Commercial Services December 2010 1

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TABLE OF CONTENTS LIST OF ABBREVIATIONS 8 INTRODUCTION 9 1. THE REGULATORY FRAMEWORK FOR RESEARCH DEGREES 11 1.1. Policy Guidelines 11 2. THE DOCTORATE DEGREE 13 2.1 The History of Doctorate Degrees 13 2.2 Research Degrees offered at Anglia Ruskin University 13 2.3 Differences between Masters and Doctorate Degrees 13 2.4 Types of Doctorate Degree 16 2.4.1 The Traditional Doctorate 16 2.4.2 The PhD on the basis of Published Work 17 2.4.3 The Practice-Based Doctorate 17 2.4.4 The Professional Doctorate 18 2.4.5 The Range of Professional Doctorates at Anglia Ruskin University 18 2.5 Structural Differences Between the PhD/and Professional Doctorate 19 2.5.1 The Structure of the PhD 20 2.5.2 The Structure of the Professional Doctorate 21 2.6 What Examiners are Looking for in the Thesis 25 2.6.1 Professional Doctorate 27 2.7 Identifying Doctorateness 28 2.7.1 Positive Features 28 2.7.2 Negative Features 29 2.8 Original and Publishable Research 31 2.8.1 Original Research 31 2.8.2 Research Worthy of Publication 32 3. THE MPHIL/DOCTORATE : FROM ENQUIRY TO GRADUATION 34 3.1 The Research Degree s Path MPhil/PhD 34 3.2 The Research Degree s Path PrD/MProf/PGDipProf 37 3.3 Typical Timescales for Completion of Doctorates 39 3.4 Good Research Conduct 39 4. UNIVERSITY SUPPORT FOR RESEARCH STUDENTS 40 4.1 Who s Who in Research, Development & Commercial Services 40 4.2 The Research Environment 42 4.2.1 Research Excellence Framework 43 4.2.2 Research Assessment Exercise 43 4.2.3 Research and Scholarly Activity 44 4.2.4 University Committees for Research 46 4.2.5 Management of Research at Faculty Level 46 4.1.6 Student Research Community and Support 47 4.3 Supervision and the Role of the Research Student 48 4.3.1 The Supervisory Team 48 4.3.2 The Rights of Research Students 49 4.3.3 Supervisors Timetable Allowance 50 4.3.4 The Responsibilities of Research Students 50 3

4.3.5 The Responsibilities of Supervisors 51 4.3.6 Intermission of Study 52 4.3.7 Complaints Procedure 53 4.3.8 Appeals Procedure 53 4.3.9 Review of an Examination Decision 53 4.4 University Research Facilities & Student Services 53 4.4.1 Equality and Diversity 53 4.4.2 Anglia Ruskin University Library 55 4.4.3 Information Technology & Computers 56 4.4.4 Statistical Software & Statistical Analysis 57 4.4.5 Copy Centres 58 4.4.6 Student Counselling 58 4.4.7 Supporting Students with Disabilities 58 4.4.8 Anglia Ruskin Transcription Centre 60 4.4.9 Learning Support 60 4.4.10 Chaplaincy 60 4.4.11 Support for International Students 61 4.4.12 English Language Support for International Students 61 4.4.13 Accommodation 62 4.4.14 Catering 62 4.4.15 Student Money Advice 63 4.4.16 Health Matters, including First Aid 64 4.4.17 Childcare 64 4.4.18 Employment Bureau 65 4.4.19 Careers Guidance 65 4.4.20 Alumni Office 66 4.4.21 Leisure Facilities 67 5. NATIONAL SUPPORT FOR RESEARCH STUDENTS 69 5.1 National Postgraduate Committee 69 5.2 Postgraduate Studentships 69 5.3 Vitae 70 5.4 Research Councils UK 71 5.5 Graduate Prospects 72 5.6 The Graduate Junction 72 5.7 Leadership Development of Principal Investigators 73 5.8 European Charter for Researchers and The Code of Conduct for the Recruitment of Researchers 73 6. FROM ENQUIRY TO APPROVAL 74 6.1 Enquiry 74 6.2 Registration 75 6.2.1 Fee Waiver 77 6.2.2. Your Receipt and Registration Period 77 6.2.3 Re-registration 77 6.3 International Research Students and the new UK Immigration Regulations 77 6.4 Approval 78 6.4.1 Anglia Ruskin University s Research Degrees Committee System 79 6.4.2 Preparing the Research Proposal 80 6.4.3 Types of Award 81 6.4.4 Ethics Approval 81 6.4.5 Health & Safety Requirements 82 6.4.6 Research Training: Agreeing a Programme 82 6.4.7 Submission of the Research Proposal 82 4

6.4.8 Approval of the Research Proposal 82 7. RESEARCH GOVERNANCE AND ETHICS APPROVAL 83 7.1 Why does Research Require Ethical Approval 83 7.2 When should I Start Thinking about Applying for Ethical Approval 85 7.3 Ethics Committees at Anglia Ruskin University 86 7.4 How to Apply for Ethical Approval at Anglia Ruskin University 86 7.4.1 Selection of Participants 89 7.4.2 Consent 89 7.4.3 Criminal Records Bureau Clearance Requirements 91 7.4.4 Questionnaire for Research Involving Human Participants (Insurance) 91 7.4.5 Requirements of the Funding Body 92 7.4.6 Professional Codes of Conduct and Practice 92 7.4.7 Risk Assessment 92 7.4.8 Equipment Checks 92 7.4.9 Travel Insurance 92 7.4.10 Intellectual Property 93 7.4.11 Written Permission From Organisations 93 7.4.12 Research Overseas 93 7.4.13 Participants Who Do Not Speak or Write English 94 7.4.14 Disclosure 94 7.4.15 Research Involving Questionnaires 94 7.4.16 Internet Research 94 7.4.17 Main Points when Making an Application 96 7.5 Ethics Committee Procedures 98 7.5.1 Adverse Events and Incidents 99 7.5.2 Substantial Amendments 99 7.5.3 Application for Extensions 100 7.5.4 Notification Regarding End of Project 100 7.5.5 Monitoring 100 7.6 NHS or Social Care Research 100 7.6.1 Sponsorship for NHS and Social Care Research 102 7.6.2 The Research Passport Scheme 102 7.7 Some Legislation Relating to Research 103 7.7.1 The Data Protection Act (1998) 103 7.7.2 The Human Tissue Act (2004) 104 7.7.3 The Mental Capacity Act (2005) 105 7.7.4 Medical Devices Regulations (2002) and Medicines for Human Use (Clinical Trials) Regulations (2004) 106 Research Ethics & Governance Checklist 107 8. RESEARCH: DEVELOPING YOUR CAREER 110 8.1 Career Development 110 8.2 Skills Diagnostic and Personal Development Plan (PDP) 110 8.3 An Academic Career? 111 9. RESEARCH TRAINING AND SUPPORT 112 9.1 Joint Statement by the Research Councils 112 9.2 The Postgraduate Research Training Programme 112 9.2.1 The Skills Diagnostic 113 9.2.2 The Compulsory Generic Three-Stage Training Programme 114 9.2.3 Online Research Skills Training 114 9.2.4 The Cross-Faculty Research Skills Training 117 5

9.2.5 Faculty Subject-Specific Training 117 9.2.6 The Additional Skills Training Programme 118 9.2.7 Understanding Research Training Programme 118 9.2.8 Introduction to Research Ethics and Governance 119 9.2.9 Introduction to RefWorks Bibliographic Management Software 119 9.2.10 Introduction to Statistics 119 9.2.11 Introduction to Statistical Package for the Social Sciences 120 9.2.12 Project Management Sessions 120 9.2.13 Designing Your Research Poster 120 9.2.14 Learning and Teaching in Practice 120 9.2.15 Professional Doctorate Workshops 121 9.2.16 Annual Research Student Conference 121 9.3 Support for International Students 122 9.3.1 Welcome Days for International Students 122 9.3.2 Spring Training Week 122 9.4 External Training Events 122 10. HEALTH AND SAFETY REQUIREMENTS 123 10.1 Using Display Screen Equipment 123 10.2 Manual Handling 124 10.3 Accident Reporting System 125 10.4 Fire Emergency Procedures 125 10.5 Children and Young Persons on the Premises 126 10.6 Further Information 126 11. MONITORING YOUR PROGRESS 128 11.1 Annual Review Meetings 128 11.2 The Online Annual Monitoring Process 128 11.3 Completed Forms 129 11.4 Annual Monitoring Report 129 11.5 Feedback 129 12. CONFIRMATION OF APPROVAL AS A DOCTORAL CANDIDATURE/TRANSFER FROM MPHIL to PhD 130 13. THE WRITING UP STAGE 131 14. THE THESIS 132 14.1 Preparation and Submission of the Thesis 132 14.2 Identifying Examiners and Seeking RDSC Approval 132 14.3 Stage Three Training 132 14.4 Technical Specifications of the Thesis 133 14.4.1 Citing Electronic Sources 133 14.4.2 The Abstract 133 13.4.3 Format of the Thesis 134 14.5 Arrangements for Submission of the Thesis 134 14.6 Preparing for the Viva 135 15. VIVA VOCE 136 15.1 The Viva Voce Examination 136 15.2 The Outcome 136 15.3 Re-examinations 137 15.3.1 Review of an Examination Decision 137 15.4 Final Award 137 6

15.5 Graduation 137 15.6 Wider Reading on the Viva Voce 137 16. MANAGEMENT OF INTELLECTUAL PROPERTY RIGHTS 139 17. USEFUL BACKGROUND PAPERS, WEB LINKS & TEXTS 141 17.1 Background Papers & Web Links 141 17.2 Some Relevant Texts for Doctoral Candidates 141 APPENDICES: 1. Research Supervision: Notes of a Meeting 148 2. Auditing Your Thesis 149 3. Joint Statement of the Research Councils Skills Training Requirements for Research Students, 2001 153 4. Skills Diagnostic Template 156 5. Checklist for Supervisors for Meeting with New Research Degree Students 168 6. The Policy on Intellectual Property, 2009 172 7

LIST OF ABBREVIATIONS/ACRONYMS ANET Anglia Ruskin University On-line Community AO Academic Office ARRO Anglia Ruskin Research Online our Institutional Repository CRB Criminal Records Bureau CMT Anglia Ruskin University Corporate Management Team EEA European Economic Area FHEQ Framework for Higher Education Qualifications (QAA, 2001) FREP Faculty Research Ethics Panel FRDSC Faculty Research Degrees Subcommittee HEFCE Higher Education Funding Council for England ISMS Information Systems and Media Services MPhil Master of Philosophy MProf Professional Masters NHS REC National Health Service Research Ethics Committee NPC National Postgraduate Committee PDP Personal Development Planning PGDipProf Postgraduate Diploma in Professional Research PhD Doctor of Philosophy PrD Professional Doctorate RAE Research Assessment Exercise RC Research Committee RCUK Research Councils UK RDSC Research Degrees Subcommittee RDCS Research, Development & Commercial Services REF Research Excellence Framework (the last Research Assessment Exercise was undertaken in 2008; the next exercise is the REF in 2014) RESC RM QAA UKBA Vitae Research Ethics Subcommittee Risk Management Quality Assurance Agency UK Border Agency This national body, funded by RCUK incorporates the former UK GRAD and UKHERD. 8

INTRODUCTION This handbook aims to offer generic guidance and assistance to all postgraduate research students at Anglia Ruskin University who are engaged in research leading to the PGDipProf, MProf, MPhil, PhD and Professional Doctorate awards. While it may not be able to answer every question that you will face as a student over the period of your research, it provides key information about aspects which will be of importance to you and should be read in conjunction with the: Research Degrees Regulations, Eleventh Edition, revised July 2010 incorporating the Senate Code of Practice on Postgraduate Research Programmes. Please see www.anglia.ac.uk/researchregs. Senate Code of Practice on Postgraduate Research Programmes Procedural document for 2010-2011 Fifth Edition, revised October 2010. Please see www.anglia.ac.uk/codes. These were the current versions at the time of going to press. The websites for the Research Degrees Regulations and the Senate Code of Practice on Postgraduate Research Programmes Procedural document have the most up-to-date version. This handbook covers procedural, pedagogic and pastoral aspects and is divided into fifteen sections that, collectively, seek to explain different aspects of the research student experience: Section 1 provides an overview of the regulatory framework within which research degrees operate, externally and within Anglia Ruskin University. Section 2 discusses, in some detail, the key features of a doctorate and how it is distinguished from a Masters research degree, for example, the MPhil or MProf. It also discusses the differences between the PhD and Professional Doctorate. Section 3 details the research degree s path for both MPhil/PhD and the Professional Doctorate programmes, from enquiry to graduation. Section 4 defines your role as a research student and the support you can expect from Anglia Ruskin University in terms of supervision and research facilities, together with information about more general University support. Section 5 gives details of organisations that provide support for research students nationally. Section 6 details the process from initial student enquiry to approval of the proposed research. Please note that research approval requires, where appropriate, ethics approval see Section 7. Section 7 looks at the process of ethics approval of the proposed research. Section 8 focuses on your career development and explains the function of the skills diagnostic in identifying those research skills that you wish to enhance. Section 9 provides information about research training offered within Anglia Ruskin University. Section 10 looks at Health & Safety requirements. Section 11 details Monitoring Your Progress. 9

Section 12 concerns the confirmation of candidature for the doctorate and the transfer from masters to the doctorate process. Section 13 provides information on the Writing Up Stage. Sections 14 and 15 focus on the thesis and the viva voce respectively. Section 16 looks at issues relating to the management of intellectual property rights. Finally, Section 17 provides details of useful background reading and web links. 10

1 THE REGULATORY FRAMEWORK FOR RESEARCH DEGREES 1.1 Policy Guidelines The Quality Assurance Agency (QAA), within its Academic Infrastructure, provides guidance on the level of master s and doctorate awards, whilst the Code of Practice contains precepts relating to postgraduate research programmes. An introduction to the QAA may be found at http://www.qaa.ac.uk/aboutus/introqaa.pdf The QAA Code of Practice for Postgraduate Research Programmes is available at: http://www.qaa.ac.uk/academicinfrastructure/codeofpractice/section1/postgrad2004.pdf The code contains guidance across a range of key areas and these will be referred to within the handbook at appropriate points. Within Anglia Ruskin University this guidance is reflected in the key documents: Research Degrees Regulations, Eleventh Edition, revised July 2010 incorporating the Senate Code of Practice on Postgraduate Research Programmes. Senate Code of Practice on Postgraduate Research Programmes Procedural document for 2010-2011 Fifth Edition, revised October 2010. These documents contextualize the QAA framework levels and Code of practice precepts within Anglia Ruskin University. They also reflect a range of external and internal reference points such as the Roberts Review, 2002; HEFCE s work on threshold standards for research degree programmes, HEFCE 03/23; the UK Council for Graduate Education s Developing good practice in research degrees delivery, 2004; The Research Councils UK Joint Skills Statement, 2001. In September 2010, Vitae published the new Researcher Development Framework, see http://vitae.ac.uk/researchers/1272-291181/researcher-development-framework- RDF.html. As described by Vitae, the Framework is a tool for planning, promoting and supporting the personal, professional and career development of researchers in higher education. It describes the knowledge, skills, behaviours and personal qualities of researchers and encourages them to aspire to excellence through achieving higher levels of development. The Framework has an associated Researcher Development Statement that is an evolution of the Joint Skills Statement. During 2010-11 we shall be preparing to implement the new Researcher Development Statement, please see http://www.vitae.ac.uk/cms/files/upload/researcher%20development%20statement.pdf, within the Skills Diagnostic. The Research Degrees Regulations are sent to research students, supervisors, examiners, chairs of examinations and members of Anglia Ruskin University s Research Committee, Research Degrees Subcommittee and Faculty Research Degrees Subcommittees. The Regulations are available at: www.anglia.ac.uk/researchregs. Copies are also available from the Research Degrees Unit in the Academic Office. The Senate Code of Practice contains information relating to the award of MPhil, PhDs, PhDs awarded on the basis of published work, Professional Doctorates, Professional Masters, the Postgraduate Diploma in Professional Research and Anglia Ruskin University s Research Diploma. The Procedural Document (please see 11

http://www.anglia.ac.uk/codes), that accompanies the Senate Code of Practice, sets out the detailed procedural arrangements for Postgraduate Research Degrees. These documents, taken together with this Research Student Handbook, make clear the environment that Anglia Ruskin University wishes to create for the support of students undertaking research. 12

2 THE DOCTORATE DEGREE 2.1 The History of Doctorate Degrees The UK Council for Graduate Education (2002) points out that: 1.3 Doctorates mark the highest level of achievement gained by a student within universities. As such they have been awarded by universities since the thirteenth century. For much of their history the practice was to award Doctorates in specific subject areas (Doctor of Law, Doctor of Theology), but by the early nineteenth century a new award, the Doctorate of Philosophy (PhD or DPhil), emerged to recognise distinction in research as opposed to distinction in scholarship. 1.5 Other important trends have become apparent in the last quarter of the twentieth century. The intellectual demands of a whole range of jobs have grown. 1.6 The alternative forms of doctoral education, of which Professional Doctorates are one example, have been developed as a positive response to an identified need, whether of industry and commerce, or the public sector. (The UK Council for Graduate Education, 2002, pp10 12) 2.2 Research Degrees offered at Anglia Ruskin University Anglia Ruskin University offers the following higher degrees by research: Research Diploma Master of Philosophy (MPhil) Doctor of Philosophy (PhD) PhD by Published Work Professional Doctorate in Business Administration (DBA) Professional Doctorate in Education (EdD) Professional Doctorate in Health and Social Care (PrD) Professional Doctorate in Built Environment (PrD) Professional Doctorate in Practical Theology (PrD) Professional Doctorate in Laws (LLD) Professional Masters (MProf) Postgraduate Diploma in Professional Research (PGDipProf) As you start your research studies it is important that you are clear about the requirements of the research qualification for which you have registered; also, that you understand the differences between specific awards. 2.3 Differences between Masters and Doctorate Degrees In reflecting the Code of Practice for the Assurance of Academic Quality and Standards in Higher Education: Postgraduate Research Programmes as laid down by the Quality Assurance Agency for Higher Education, (available at: http://www.qaa.ac.uk/academicinfrastructure/fheq/default.asp) for the award of a doctorate, candidates must demonstrate that they have mastered a special field and made an original personal contribution to the understanding of a problem, or to the advancement of knowledge or to the generation of new ideas. It is also necessary to demonstrate a deep understanding and awareness of the background to the subject. 13

This is reflected in Part A Section 1.6 of Anglia Ruskin University s Research Degrees Regulations, revised July 2010, that state: A doctoral degree shall be awarded to a candidate who, having critically investigated and evaluated an approved topic resulting in an independent and original contribution to knowledge and demonstrated an understanding of research methods appropriate to the chosen field, has presented and defended a thesis by oral examination to the satisfaction of the examiners. The Masters differs from the Doctorate in terms of the depth of study required and the extent of the personal contribution to knowledge. Competence in conducting an independent enquiry is required, as well as in the use of appropriate research methods and techniques. It is also necessary to demonstrate satisfactory background knowledge of the subject. As Part A Section 1.5 of the Research Degrees Regulations, revised July 2010, state: The MPhil shall be awarded to a candidate who, having critically investigated and evaluated an approved topic and demonstrated an understanding of research methods appropriate to the chosen field, has presented and defended a thesis by oral examination to the satisfaction of the examiners. Guidance on the Doctoral and Masters levels is provided in The Framework for Higher Education Qualifications in England, Wales and Northern Ireland (FHEQ), August 2008, QAA. The Doctoral Level The Framework for Higher Education Qualifications (QAA, 2008) states that: Doctoral degrees are awarded for the creation and interpretation, construction and/or exposition of knowledge which extends the forefront of a discipline, usually through original research. Holders of doctoral degrees will be able to conceptualise, design and implement projects for the generation of significant new knowledge and/or understanding. Holders of doctoral degrees will have the qualities needed for employment that require both the ability to make informed judgements on complex issues in specialist fields and an innovative approach to tackling and solving problems. Descriptor for a higher education qualification at level 8: Doctoral degree Doctoral degrees 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 14

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 holders 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 Masters Degree (Level 7) The FHEQ (2008) states that: Much of the study undertaken for master s degrees will have been at, or informed by, the forefront of an academic or professional discipline. Students will have shown originality in the application of knowledge, and they will understand how the boundaries of knowledge are advanced through research. They will be able to deal with complex issues both systematically and creatively, and they will show originality in tackling and solving problems. They will have the qualities needed for employment in circumstances requiring sound judgement, personal responsibility and initiative, in complex and unpredictable professional environments. Descriptor for a higher education qualification at level 7: Master s degree Masters Degrees are awarded to students who have demonstrated: a systematic understanding of knowledge, and a critical awareness of current problems and/or new insights, much of which is at, or informed by, the forefront of their academic discipline, field of study, or area of professional practice a comprehensive understanding of techniques applicable to their own research or advanced scholarship originality in the application of knowledge, together with a practical understanding of how established techniques of research and enquiry are used to create and interpret knowledge in the discipline conceptual understanding that enables the student: o to evaluate critically current research and advanced scholarship in the discipline o to evaluate methodologies and develop critiques of them and, where appropriate, to propose new hypotheses. 15

Typically, holders of the qualification will be able to: deal with complex issues both systematically and creatively, make sound judgements in the absence of complete data, and communicate their conclusions clearly to specialist and non-specialist audiences demonstrate self-direction and originality in tackling and solving problems, and act autonomously in planning and implementing tasks at a professional or equivalent level continue to advance their knowledge and understanding, and to develop new skills to a high level. And holders will have: the qualities and transferable skills necessary for employment requiring: o the exercise of initiative and personal responsibility o decision-making in complex and unpredictable situations o the independent learning ability required for continuing professional development. 2.4 Types of Doctorate Degree At Anglia Ruskin we offer the Traditional Doctorate, PhD, the Practice-Based Doctorate, PhD and the Professional Doctorate, PrD. Figure 1 outlines one difference between the PhD and PrD Traditional Doctorate and Practice-Based Doctorate Professional Doctorate Starting point for the research Theory Practice Practice Theory Theory Practice Figure 1: Theory Practice Sequences in Doctoral Programmes 2.4.1 The Traditional Doctorate Generally, the candidate identifies an area where significant new knowledge/ understanding may be generated. Please note that for funded research and in some disciplines, for example, science and engineering, the sponsor/supervisor may identify the area to be researched. Having identified your intellectual problem ( gap in knowledge ), the research question(s)/hypothesis is established. The framework for undertaking the research is then formulated. The field work, which may, for example, be data collection, analysis of records, accounts, papers etc., recording of interviews, experiments, is undertaken and findings are analysed. In drawing conclusions, reference is made back to 16

the original research question/hypothesis. A critical reflection on the contribution to knowledge is required. Successful doctoral candidates are expected to have undertaken research worthy of refereed publication. Candidates who have published research over several years may wish to consider the route to a PhD based on published works. There are differences in the two approaches to a PhD - while the PhD is based typically on a supervised programme of research and the submission of a traditional dissertation, the PhD by Published Work is based upon research leading to a number of coherent publications, each of which has been subjected to peer review (Powell, 2004) 2.4.2 PhD on the basis of Published Work Candidates who have published work, normally within the last ten years, that demonstrates an independent and original contribution to knowledge and an understanding of research methods, may apply to establish a prima facie case for the award of a PhD or MPhil. The Research Degrees Regulations, July 2010, Part B, give the principles and procedures for the submission of a PhD on the basis of Published Work. Although this route to a PhD was introduced relatively recently in the UK, as Powell (2004) states - the concept of having a PhD submission wholly or largely based on published works has existed since the nineteenth century when in Germany it was a requirement of doctoral dissertations that they be printed and copies placed in all national university libraries. 2.4.3 The Practice-Based Doctorate Practice-Based Doctorates 'include practice as an integral component (or theorise that practice), in relation to its research questions, issues or problems, its outputs and outcomes, and crucially its research methods or approaches, thereby generating new or enhanced knowledge and understanding in the discipline' (Arts and Humanities Research Council (AHRC) guidance on practice-led and applied research eligible for research funding). The practice-based doctorate advances knowledge partly by means of practice. An original/creative piece of work is included in the submission for examination. It is distinct in that significant aspects of the claim for doctoral characteristics of originality, mastery and contribution to the field are held to be demonstrated through the original creative work. Practice-based doctoral submissions must include a substantial contextualisation of the creative work. This critical appraisal or analysis not only clarifies the basis of the claim for the originality and location of the original work, it also provides the basis for a judgement as to whether general scholarly requirements are met. This could be defined as judgement of the submission as a contribution to knowledge in the field, showing doctoral level powers of analysis and mastery of existing contextual knowledge, in a form which is accessible to and auditable by knowledgeable peers. UK Council for Graduate Education (UKCGE) (1997). Creative work must be accompanied by a written component, the length of which should fall within the boundaries established by the research degrees regulations and be negotiated and approved at the research-proposal stage. Such written work must conform to the requirements of a thesis at the doctoral level. 17

2.4.4 The Professional Doctorate This moves in a different way. Candidates undertake research in the workplace, with the aim of enhancing understanding of - and making a difference to - practice. Starting from contemporary practice that surrounds the candidate, research is expected to draw on theory to assist in explaining and understanding practice. Such a view is in the Elliott (1991) tradition of giving action research the primary imperative of improving practice. Thus, the professional doctorate sandwiches theory between practice, thereby drawing the evidence from the reality of the researcher s own place of employment (Woolliams, 1997). Locating the professional doctorate in this tradition places it clearly in the scholarly area of what Middlewood, Coleman and Lumby (1999) term making a difference. They highlight a significant emphasis in this type of award. Whilst it is possible that findings from PhD research may make a difference to practice through dissemination, this is not necessarily a prerequisite of the traditional PhD. In the professional doctorate it is the critical factor that provides uniqueness among approaches to doctoral study. At the national level, different models have emerged among British universities that have loose affiliations to practitioner research. The Anglia Ruskin doctoral programmes are explicit in locating improvements to practice, as being absolutely central to the recruitment, delivery and assessment processes of this type of research. 2.4.5 The Range of Professional Doctorates at Anglia Ruskin University Each Faculty has at least one Professional Doctorate (PrD) programme. The educational philosophy for each programme is given below: The PrD in the Built Environment The rational and demand for a new form of doctorate in the Department of the Built Environment at Anglia Ruskin University stemmed from concern that the conventional parttime route and the nature of the PhD, does not always meet the needs of either the candidates or their employers. A new approach, tailored to the needs of professional practice, was needed. The Professional Doctorate is therefore specifically designed and tailored for senior professionals who wish to study at doctoral level and who work in organisations that appreciate the benefits that accrue from this special form of education. The PrD in Business Administration (the DBA) The DBA offers a route to a doctorate degree that is different from the traditional PhD. The DBA places a high value on the transferability of research findings to and from the workplace, which is recognised as both the field for, and the beneficiary of, high quality research. Rather than add to their traditional workload, candidates should seek to integrate and diffuse their doctoral studies within their professional context. The DBA is primarily designed therefore to enable a significant contribution to be made to the enhancement of professional practice in the business area through the application and development of theoretical frameworks. The PrD in Education (the EdD) The rationale for the EdD stems from (i) the professional nature of the programmes that the Faculty of Education has traditionally been offering at undergraduate and Masters level and (ii) the nature of research undertaken by the academic staff and researchers in the Faculty. It is also informed by the wider debate in the field and acknowledgement that research should be both informed by and contribute to improving professional practice. The overall structure of the Professional Doctorate framework and specific requirements of the EdD offers supportive cohort-based, flexible, blended and work-based learning. The PrD in Health and Social Care The Faculty of Health and Social Care offers the Professional Doctorate programme because the focus on problem-solving/research is one that not only promotes practitioner 18

research per se, but engages practitioners in research related to an issue that is applicable to the employing organisation. The importance of the role of the mentor and the organisational approval of the project is reflected in this research programme. The focus on organisational development is viewed as being of particular relevance to concepts of practitioner research within health and social care. The PrD in Laws (the LLD) The Professional Doctorate in Laws programme is designed for senior legal professionals, managers and administrators, working at mid- or late-career in private practice, the judiciary, court service or other law-related bodies, both in the UK and other countries. A study commissioned by the Nuffield Foundation, and authored by Law Professors Dame Hazel Genn, Martin Partington and Sally Wheeler, Law in The Real World: Improving Our Understanding of How Law Works (2006) identified a shortage in the field of empirical legal research, which it defined as the study through direct methods of the operation and impact of law and legal processes in society. The report considered that such research was crucial in revealing and explaining the practice and procedures of legal, regulatory, redress and dispute resolution processes and how these affect government, businesses and citizens. It found that UK law schools were historically dominated by theoretical and textbased doctrinal research, which often appeared to be self-replicating, and that academic researchers lacked the appropriate research skills in empirical and trans-disciplinary areas. The recent growth of the Socio-Legal Studies Association (SLSA) supports the argument of the Nuffield report about the role of empirical legal research. This report thus opens a research area that is well suited to the PrD model of doctoral research. The PrD in Practical Theology Practical Theology, in its more historically recent sense, denotes theology based explicitly on the methodology of dialectical relationship between theory and practice. The theory is multidisciplinary, and will be drawn both from traditional religious texts or disciplines of enquiry and from secular sources of knowledge, particularly the human sciences. The practice is normally in an area which involves pastoral work, for example hospital chaplaincy, adult education or community development. It involves critical reflection on practice through empirical research and hermeneutical reflection. Practical Theology is a subject which lends itself well to treatment within a Professional Doctorate framework as it is a branch of theology which a) is epistemologically committed to viewing practice as disclosive of understanding/truth, b) is methodologically committed to the dialectic between reflection and action, c) is rooted for its subject matter in issues of practice, and d) is of interest to people operating in a wide range of professional capacities, who wish to develop as reflective professionals. A Professional Doctorate works from practice to theory to practice. Within the discipline of Practical Theology it is important to both develop and differentiate between traditional PhD work, which takes a more theoretical overview of the discipline, and particular practice oriented research, which is well served by the Professional Doctorate. We envisage the professional doctoral research as contributing in three areas, namely to the organisation from which the candidate comes, to the way in which a typical person in the candidate s context would develop good practice, and to individual growth through the programme. 2.5 Structural differences between the PhD and Professional Doctorate All doctoral students are advised to heed the advice given by Cipolla (1995) to PhD students: students (must) realise that original research contributions come about after diligent review, concentration and analysis. The world is your oyster and in research 19

everything is up for grabs. ``Caminante no hay camino. Se hace camino al andar'' (Traveller, there are no paths. Paths are made by walking). Whilst all doctorate programmes have parity in terms of the level of the final award, they differ in focus and delivery. A helpful discussion on the doctorate and making a choice between the PhD and the Professional Doctorate is given in Wellington et al. (2005), Part 1. 2.5.1 The Structure of the PhD Features of the traditional doctorate include: that it is an award made usually for original research. This research can take many forms, that include (Phillips & Pugh, 2000): carrying out empirical work that has not been undertaken before making a synthesis that has not previously been undertaken using existing material but with a new and different interpretation trying out something in this country that has previously only been done in other countries taking a particular technique and applying it in a new area (see Phillips & Pugh, 2000, pp 63 64 for their full list). recruitment is undertaken on an individual or cohort basis and, although the student will have two or more supervisors, the research is generated by the individual, sometimes working in isolation distinct differences between students researching in science and those in social sciences and humanities. In science, research tends to be closely linked to the work of the research organisation or specialist research group, while in the social sciences and humanities the research is generally done on a more autonomous basis (see Taylor & Beasley, 2005, pp34 37, for a full discussion) that each discipline therefore, inevitably places different expectations and demands on students at different stages. (However, according to Phillips & Pugh (2000) there are four elements to the form of the PhD, which all students will need to master: background theory; focal theory; data theory and contribution.) Background theory: This is achieved by undertaking a literature review which evidences that you have a full grasp of the current state of knowledge of the field being researched Focal theory: This provides the framework to the research itself, establishing hypotheses and thesis Data theory: This justifies the relevance and validity of the material being used to support the thesis Finally, contribution identifies the distinct way in which the research undertaken has added to understanding in the field or discipline, in particular how background and focal theory are now different as a result of the study The time-scale over which these four elements are achieved will vary but normally will occur over a period of three years (or six years, if you are studying part-time). evidence that you, as a holder of a doctorate, have gained the expertise of a professional researcher In Planning a Doctorate Schedule for Success, UK Grad (2008) identifies a series of key steps to help the Doctorate researcher keep on track. These include: 20

comprehensive planning early on agreeing a general timeline with your supervisor and setting specific milestones against which to measure progress reviewing milestones regularly and breaking tasks down into manageable activities. The value of good planning is highlighted by Wisker (2001, p231), so that as you are writing you are: keeping good notes of sources, methods, results and data talking and thinking through drafts of chapters writing up drafts of chapters altering your work in the light of comments from your supervisor(s). 2.5.2 The Structure of the Professional Doctorate During 2007-08 our Professional Doctorate programmes, except for the recently validated PrD in Practical Theology, were revalidated and a new PrD in Laws (the LLD) was validated. All our PrDs have a common framework, see Figure 2, that includes award titles of Postgraduate Diploma in Professional Research (PGDipProf) and Professional Masters (MProf). Depending on the Professional Doctorate programme, each award may be studied as a qualification in its own right. For all programmes, however, the MProf or PGDipProf may be awarded, as appropriate, to recognise the achievements of students who have to withdraw from the Professional Doctorate or have not met the requirements for the award of a Professional Doctorate. The common aims and assessment criteria for each of the three awards are given in the Professional Doctorate handbook for each programme. Stage 1 of the Professional Doctorate programme involves workshops and seminars on methodology and research design and leads to the preparation of papers totalling a maximum of 21,000 words. The role of Stage 1 is to structure and build up the candidate s ability to reflect on and examine critically practice at an advanced level, to develop an understanding of techniques and/or methodologies applicable to practitioner research, to deepen candidate s understanding of their professional practice, and enable candidates to design a research project that is capable of generating new knowledge and understanding of professional practice. At this stage, candidates are supported by an academic advisor. Upon successful completion of Stage 1, candidates may progress to Stage 2 of the programme or be awarded the Postgraduate Diploma in Professional Research. In Stage 2, candidates undertake original research resulting in a thesis. For the Professional Masters, candidates will be expected to display academic rigour and the capacity to produce publishable work. In advancing their understanding and practice within their profession, candidates will develop an awareness of research as a vehicle to integrate theory and practice. Some originality in the application of knowledge or methodology is expected at this level. Professional Doctorate candidates are required to have conducted original research or other advanced scholarship that satisfies peer review and extends the forefront of the 21

discipline. Within the thesis and at the viva, candidates will demonstrate a critical and contextually appropriate application of techniques for original research, effective communication, critical and independent reasoning appropriate to advanced academic enquiry. The assessment criteria for each award are given in Section 8, Part C of the Research Degrees Regulations, July 2010. Prospective students for the Professional Doctorate programme who do not have any experience of research are required to undertake and pass an introductory Understanding Research training programme. This has been designed specifically for PrD, MProf and PGDipProf students prior to registration on any of the awards. 22

Figure 2 Professional Doctorate Generic Structure Postgraduate Diploma Professional Masters Professional Doctorate Masters Degree and Professional Experience Confirmation Professional Doctorate Research Proposal Transfer Honours Degree and Professional Experience Stage 1 Stage 2 Nonstandard Entry Understanding Research Postgraduate Diploma Professional Masters 23

For Professional Doctorate programmes, candidates are usually recruited into cohorts of around 6 15 members whose learning draws upon their respective experiences to complement formal inputs from staff. Professional doctorates differ from the traditional doctorate in focus in that they are involved a priori with professional practice and would expect to show the following characteristics: 1 1. Practitioner-based research demands an integral involvement by the researcher with intent to change the organisation. This intent may not succeed - no change may take place as a result of the intervention - and the change may not be as intended. 2. Practitioner-based research must have some implications beyond those required for action or generation of knowledge in the domain of the project. It must be possible to envisage talking about the theories developed in relation to other situations. Thus it must be clear that the results could inform other contexts, at least in the sense of suggesting areas for consideration. 3. As well as being usable in everyday life, practitioner-based research demands valuing theory, with theory elaboration and development as an explicit concern of the research process. 4. If the generality drawn out of the practitioner-based research is to be expressed through the design of tools, techniques, models and methods then this, alone, is not enough - the basis for their design must be explicit and shown to be related to the theories which inform the design and which, in turn, are supported or developed through practitioner-based research. 5. Practitioner-based research will often be concerned with a system of emergent theory. Here the theory develops from a synthesis of that which emerges from the data and that which emerges from the use, in practice, of the body of theory that informed the intervention and research intent. 6. Theory-building, as a result of practitioner-based research, will be incremental, moving through a cycle of developing theory-to-action-to-reflection-to-developing theory from the particular to the general in small steps. 7. What is important for practitioner-based research is not a (false) dichotomy between prescription and description, but recognition that descriptions will be prescription, even if implicitly so. Thus presenters of practitioner-based research should be clear about what they expect the reader to take from it and present it with a form and style appropriate to this aim. 8. For good quality practitioner-based research a high degree of systematic method and orderliness is required in reflecting about, and holding onto the research data and the emergent theoretical outcomes of each episode or cycle of involvement in the organisation. 9. For practitioner-based research, the processes of exploration of the data - rather than collection of the data - in the detecting of emergent theories and development of existing theories, must either be replicable or, at least, capable of being explained to others. 1 [Based on Chapter 13 from Eden and Huxham, 2002, Management Research, Sage Publications, p269 et seq] 24

10. The full process of practitioner-based research involves a series of interconnected cycles, where writing about research outcomes at the latter stages of a practitionerbased research project is an important aspect of theory exploration and development, combining the processes of explicating pre-understanding and methodical reflection to explore and develop theory formally. 11. Adhering to the ten characteristics above is a necessary but not sufficient condition for the validity of practitioner-based research. 12. It is difficult to justify the use of practitioner-based research when the same aims can be satisfied using approaches (such as controlled experimentation or surveys) that can demonstrate the link between data and outcomes more transparently. Thus in practitioner-based research, the reflection and data collection process - and hence the emergent theories - are most valuably focused on the aspects that cannot be captured by other approaches. 13. In practitioner-based research, the opportunities for triangulation that do not offer themselves with other methods should be exploited fully and reported. They should be used as a dialectical device which powerfully facilitates the incremental development of theory. 14. The history and context for the intervention must be taken as critical to the interpretation of the likely range of validity and applicability of the results of practitionerbased research. 15. Practitioner-based research requires that the theory development, which is of general value, is disseminated in such a way as to be of interest to an audience wider than those integrally involved with the action and/or with the research. 2.6 What Examiners are Looking for in the Thesis The examination of any thesis is a time-consuming process that involves high stake assessment. There are a range of possible outcomes from a viva, see section 11, Part A, Research Degrees Regulations, July 2010. Submission of a poor quality thesis with inadequate defence at the viva could well result in a failure or the recommendation for resubmission for a lower level award. The Research Degrees Subcommittee permits one re-examination, subject to certain requirements (see Section 11, Research Degrees Regulations, revised July 2010). It is therefore crucial that you do not submit before your supervisors advise you that your thesis is at the doctoral/masters level and capable of being defended at the viva. Examiners are by definition experts in your discipline/area of study, who have not previously been involved in advising you in your studies. Their task is to decide whether your work meets the criteria laid down for awards at this level. Another role of the examiners at the viva is to confirm that the thesis is the candidate s own work. Your thesis needs to satisfy Anglia Ruskin University Research Degrees Regulations, this includes all aspects of structure and presentation, including word length; please see the Research Degrees Regulations, Eleventh Edition, revised July 2010. In an address to the University of Canberra Postgraduate Students Association, Professor Arthur Georges, (1996) included the following advice to candidates on the constitution of an excellent thesis. This advice assumes that the research itself meets the requirements and level of the research degree, see section 2.3. It is important to keep the thesis in the right perspective. It is not an end in itself, but rather your attempt to undertake a substantial piece of research as one further step in developing a research career. The thesis should be 25