Regulations for the Award of the University's Degrees of:

Regulations for the Award of the University's Degrees of: Doctor of Engineering (DEng) Doctor of Laws (LLD) Doctor of Letters (DLitt) Doctor of Science (DSc) Current version 1

SHEFFIELD HALLAM UNIVERSITY ACADEMIC BOARD RESEARCH DEGREES SUB-COMMITTEE Regulations for the Award of the University's Degrees of Doctor of Engineering (DEng), Doctor of Laws (LLD), Doctor of Letters (DLitt) and Doctor of Science (DSc) Table of Contents HD1 Principles 2 HD2 Eligibility 2 HD3 Application and Presentation of Submitted Work 3 HD4 Appointment of Examiners 4 HD5 The Examination - General 5 HD6 Examination Procedures 6 HD7 The Candidate's Responsibilities in the Examination Process 6 HD8 Examination 6 HD9 Appeals Against the Recommendations of the Examiners 7 Annex 1: The Research Degrees Sub-Committee 1 Powers and Responsibilities 10 2 Constitution 11 3 Membership 12 Annex 2: List of the University's Forms for Higher Doctorates 14 2

HD1 Principles HD1.1 Sheffield Hallam University (hereinafter referred to as 'the University') awards the degrees of Doctor of Engineering (DEng), Doctor of Laws (LLD), Doctor of Letters (DLitt) and Doctor of Science (DSc), in recognition of work of high distinction evidenced by published work constituting a major original contribution to the advancement or application of knowledge, establishing the candidate as a leading authority in his/her field(s) of study. HD1.2 For the purposes of these regulations, a work is be regarded as published only if it is traceable through ordinary catalogues, abstracts or citation indices and copies are available to the general public. Proofs of works not yet accepted for publication are not submissible. Reports to Government Departments, local or industrial organisations and the like are not submissible unless they have been published and are publicly available. HD1.3 The University shall ensure that higher doctorates awarded and conferred are consistent in standard and comparable in standard with higher doctorate awards granted and conferred throughout higher education in the United Kingdom. HD1.4 Where any work submitted for the award has been carried out in collaboration with others, a statement clearly indicating the contribution by such other persons must be submitted with the candidate's application for the higher doctorate. HD1.5 None of the publications submitted for the award may have been submitted by the candidate for a higher doctorate of any other institution and a declaration to this effect must be submitted by the candidate at the time of application for the higher doctorate. HD1.6 Candidates must present the submitted work in English unless by prior permission of the Research Degrees Sub-Committee which may normally only be given if the subject matter of the submitted work involves language and related studies. Such permission should normally be sought prior to the submission of an application for a higher doctorate. HD2 Eligibility HD2.1 An applicant for a higher doctorate shall normally be: a) a graduate of the University or its Associate Colleges, or a current or former graduate member of staff (full-time, part-time, visiting or honorary) of the University or its Associate Colleges, or a graduate member of staff of a collaborating organisation which contributes to the research of the University, of not less than seven years' standing, or b) a holder of any other appropriate equivalent qualification awarded as a result of studies carried out at the University or its Associate Colleges, 3

or a current or former member of staff of the University or of a collaborating organisation which contributes to the research of the University possessing such other appropriate qualifications and with not less than ten years' relevant professional experience. HD2.2 In approving an application for a higher doctorate, the Research Degrees Sub-Committee shall satisfy itself as to the validity of the candidate's relation to the University. HD3 Application and Presentation of Submitted Work HD3.1 An application for a higher doctorate may be submitted at any time. Applications should be made in writing to the Graduate Studies Team, Secretary and Registrar's Directorate, using the appropriate form (see Annex 2), which shall include: a) details of the higher doctorate being sought; b) details of the candidate's relationship with the University (see HD2.1); c) a numbered list of the published works on which the application is based; d) a detailed critical appraisal, between 5-10,000 words, of the submitted works stating the field(s) and aims of the research and the significant, distinguished and original independent contribution of the works to the advancement of knowledge in the field(s) of study, to assist the examiners in their assessment; e) where any work submitted has been carried out in collaboration with other persons, a signed statement of the extent of the contribution by others (see HD1.4). Note: the University reserves the right to consult with any of the co-authors or collaborators in respect of this declaration; f) a signed declaration that the works submitted have not been submitted for a higher doctorate at any other university (see HD1.5); g) payment of the appropriate fee will be on submission of the work for examination. Note: Candidates intending to make an application are advised, before submission, to consult informally with at least one senior member of staff at the University, who is familiar with both the standard required and with the applicant's field of work. It is advisable to seek such advice as early as possible and certainly prior to preparation for submission for examination. 4

HD3.2 On approval of registration, the candidate shall submit three copies of the following: a) an off-print or high quality photocopy of all the published works, if necessary giving proof of authenticity. The works shall be numbered and correspond exactly with the contents page (see HD3.3); b) an abstract, not normally exceeding 300 words, summarising the contribution to knowledge represented by the published works. HD3.3 The abstract and copies of all the published works shall be presented in a box file, of sufficient rigidity to support the weight of the enclosed material when standing upright, and containing: a) a contents page comprising the numbered list of the published works submitted (see HD3.2a); b) a title page which shall give the following information: - an appropriate title relating to the candidate's area of research; - the full name of the candidate; - the following statement: Submitted in fulfilment of the requirements of Sheffield Hallam University for the degree of Doctor of Engineering/Laws/Letters/Science as appropriate; - the month and year of submission. HD3.4 The outside front of the file, in at least 24pt type, shall bear the title of the work, the name and initials of the candidate, the qualification, and the year of submission; the same information (excluding the title of the work) shall be shown on the side/spine of the file, reading downwards. HD3.5 Except with the specific permission of the Research Degrees Sub- Committee the submitted work must be presented in English (see HD1.6). HD3.6 Following the award of the degree the Director of Registry shall lodge one copy of the critical appraisal in the library of the University. All other copies of the submitted work will be returned to the candidate. HD4 Appointment of Examiners HD4.1 The Research Degrees Sub-Committee will normally appoint three examiners, of whom at least two shall be external examiners and one shall be a member of staff of the University. HD4.2 Examiners shall have appropriate professional expertise and experience as an examiner in the field(s) to be examined. 5

HD4.3 An external examiner shall be independent of the University, its Associate Colleges and of any organisation associated with the candidate's work, shall not be a co-author of any of the candidate's cited works or have had any involvement with the candidate's work. Former members of staff of the University, its Associate Colleges or a collaborating organisation which contributes to the research of the University will normally not be approved as external examiners until three years after the termination of their employment with that employer. HD4.4 No candidate for a higher doctorate at the University or elsewhere shall act as an examiner. HD5 The Examination - General HD5.1 The Research Degrees Sub-Committee will make a recommendation on the reports and recommendation(s) of the examiners in respect of the candidate. The power to confer the award rests with the Academic Board of the University. HD5.2 The Research Degrees Sub-Committee shall ensure that all examinations are conducted and that the recommendations of the examiners are presented wholly in accordance with the University's regulations. In any instance where the Research Degrees Sub-Committee is made aware of a failure to comply with all the procedures of the examination process, it may declare the examination null and void and appoint new examiners. HD5.3 Any allegation of plagiarism, collusion, or any other form of dishonest conduct in the preparation of the submitted work, shall be made in the first instance to the Director of Registry. The Director of Registry in conjunction with the Chair of the Research Degrees Sub-Committee and a specialist knowledgeable in the appropriate field(s), drawn from the membership of the Sub-Committee, shall investigate the matter, explaining to the candidate the exact nature of the allegation and affording the candidate an opportunity to reply. If this arises subsequent to the recommendation of the examiners, the examiners shall be consulted. If it is decided that a prima facie case has been established it shall be put forward to the Research Degrees Sub- Committee for its consideration, and the candidate shall be invited to submit written evidence to the Sub-Committee. The Research Degrees Sub- Committee shall decide on the appropriate form of action, which shall be appropriate to the gravity of the offence. HD6 Examination Procedures HD6.1 The Director of Registry shall make known to the candidate the procedure to be followed for the submission of the documents and any conditions to be satisfied before the candidate may be considered eligible for examination. HD6.2 The Director of Registry shall send a copy of the submitted works to each examiner, together with the examiner's report form (see Annex 2) and the University's regulations. The Director of Registry shall also ensure that all 6

the examiners have completed and returned their independent reports to the University and are properly briefed as to their duties. HD7 The Candidate's Responsibilities in the Examination Process HD7.1 The candidate shall satisfy any conditions of eligibility for examination laid down by the Research Degrees Sub-Committee. HD7.2 The candidate shall have no formal contact with the external examiner(s) between the appointment of the examiners and the completion of their reports. However, before making their reports, the examiners may seek additional information from the candidate through the Director of Registry. Such additional information shall be provided to all the examiners. HD7.3 The candidate shall confirm, through the submission of a signed declaration, that none of the published works included has been submitted for a comparable academic award (see HD1.5 and HD3.1f). HD7.4 The candidate shall ensure that the format of the submitted works is in accordance with the requirements of the University's regulations (see section HD3). HD8 Examination HD8.1 Each examiner shall read and examine the submitted works, the candidate's critical appraisal and declaration (see HD3.1d and HD3.2) and submit, on the appropriate form, an independent report and recommendation on the award of the higher doctorate, to the Academic Registrar. In completing the report, each examiner shall consider whether the submitted works satisfy the requirements of the award and constitute an original and distinctive contribution to the advancement of knowledge such that it gives the candidate an authoritative status in the chosen field(s) (see HD1.1). HD8.2 Where the examiners' recommendations are not unanimous, the Research Degrees Sub-Committee will accept a majority recommendation. HD8.3 Where the Research Degrees Sub-Committee recommends to the Academic Board that the degree be not awarded, an agreed statement of the deficiencies of the candidate's submission and the reason for the recommendation, prepared by the examiners, shall be forwarded to the candidate by the Director of Registry. HD8.4 Candidates to whom the degree is not awarded may submit a new application, once only, which will be subject to the same regulations and application procedures (see section HD3), within four years of the date of the examination, provided that such an application contains additional published work relevant to the field of study. 7

HD9 Appeals Against the Recommendations of the Examiners The University has comprehensive appeals regulations and procedures covering research degree candidates for PhD, MPhil, Professional Doctorates and Higher Doctorates. These can be found on the student portal at URL http://my.shu.ac.uk/webapps/portal/frameset.jsp. The Research Degrees Sub-Committee Annex 1 1 Powers and Responsibilities of the Research Degrees Sub-Committee 1.1 The Academic Board of the University has established a Research Degrees Sub-Committee with the following powers: a) to approve programmes of study, registrations and supervisory arrangements for the degrees of MPhil, PhD subject to Confirmation, and PhD direct; b) to approve applications for registration for the degrees of PhD on the basis of published work and for the higher doctorates of DEng, LLD, DLitt and DSc; c) to endorse Faculty decisions on Confirmation of PhD registration; d) to endorse Faculty decisions on changes and modifications to candidates' registration, including supervisory arrangements, mode of study, additional time to complete and suspensions; e) to approve the examination arrangements for each candidate; f) to complete the examination process in respect of individual candidates by deciding upon the examiners' recommendations and making a recommendation as to the final decision, to the Academic Board; g) to consider and decide upon requests by candidates for a review of an examination decision. 1.2 The Sub-Committee shall be responsible for the general arrangements under which the candidate's research is carried out, including arrangements for academic supervision and postgraduate study and the provision of adequate facilities to enable the candidate to conduct and complete the research programme in an efficient and safe manner. 1.3 The Sub-Committee shall ensure that the Research Degree Regulations of the University are complied with. 8

1.4 The Sub-Committee shall monitor the progress of each research degree candidate. 1.5 The Sub-Committee shall ensure that the interests of candidates are protected and that the standard of awards is maintained under the University's regulations for research degrees. 1.6 The Sub-Committee shall be responsible to Academic Board for keeping the policies, procedures and outcomes of its operation under review, and for making recommendations as necessary to the Academic Board. 1.7 The Sub-Committee shall forward to Academic Development Committee all decisions of the Research Degrees Sub-Committee and submit an annual report of its activity. 1.8 The Sub-Committee shall ensure that the University's policies on equal opportunities are taken into account in the fulfilment of these terms of reference. 2 Constitution 2.1 The membership of the Research Degrees Sub-Committee shall be constituted to ensure: a) appropriate experience of completed research degree supervision; b) appropriate experience of examining research degrees; c) a wide range of research experience and research-based publications; d) subject expertise to reflect the range of disciplines in which candidates are registered as far as is reasonably practicable; and e) familiarity with the University's regulations for research degrees and higher doctorates. 2.2 The above implies that: a) a majority of members of the Research Degrees Sub-Committee shall have supervised three or more candidates to successful completion of PhD degrees; b) a substantial proportion of members shall have had experience of examining research degrees; c) there shall be clear evidence that members have been or are engaged in research activities leading to publication; and 9

d) there is sufficient expertise represented on the Research Degrees Sub-Committee to ensure that each application for research degrees or higher doctorates can be dealt with appropriately. 2.3 Any member of the Sub-Committee who is an applicant for a higher doctorate or registered for a research degree at the University shall withdraw from that part of the meeting of the Sub-Committee at which there is consideration of his or her application or registration. 2.4 Members may be co-opted onto the Research Degrees Sub-Committee for a period of no longer than one year. 3 Membership 3.1 The members and the Chair of the Sub-Committee shall be approved by the Academic Board. 3.2 The Sub-Committee shall include persons having substantial experience of research, successful research degree supervision and familiarity with the research degrees and higher doctorate regulations and procedures. 3.3 As far as is practicable, and having regard to the terms of paragraph 2 above, the membership of the Sub-Committee shall a) be as wide as possible and reflect a balance of expertise appropriate to current and anticipated work of the Sub-Committee; b) comprise: Chair of ADC (ex-officio) Nineteen members (excluding co-opted members) 3.4 The Sub-Committee shall have power to co-opt not more than four members. Such persons shall serve as full members of the Sub-Committee for a specified limited period of not more than one year and all such cooptions, together with the duration of the co-option, shall be approved by the Academic Board. 3.5 Members are appointed for three years. All members other than co-opted members shall be eligible for re-nomination and re-appointment. 3.6 The quorum of the Sub-Committee shall be six members (excluding exofficio members). 3.7 The Sub-Committee shall normally meet on a minimum of six occasions each year. 3.8 The Secretary to the Sub-Committee shall be a senior administrator from Registry. 10

Annex 2 List of the University's Forms for the Degrees of: Doctor of Engineering (DEng), Doctor of Laws (LLD), Doctor of Letters (DLitt) and Doctor of Science (DSc) Form Stages HD1 HD2 HD3 Application and Declaration (completed by the candidate) Appointment of Examiners (completed by the Chair of RDSC) Examiner's Report and Recommendation on a Candidate for the Degree of DEng/LLD/DLitt/DSc (completed by the examiners) 11