Other publications in this series include: University Handbook Governance Handbook New Student Welcome Handbook

Research Degrees Handbook 10 th edition [July 2015] Other publications in this series include: University Handbook Governance Handbook New Student Welcome Handbook

CONTENTS Introduction from the Vice-Chancellor.. 1. Higher Degrees Introduction.. 3 4-9 MA Master of Arts MSc Master of Science.. LLM Master of Laws MPhil Master of Philosophy.. DPhil Doctor of Philosophy... Higher Doctorates. 2. Roles and Responsibilities 10-15 Research Officer.. Supervisor Student. Matters Relating to Responsibilities... 3. Regulations.. General Regulations for Higher Degrees: Introduction General Regulations for the Award of Higher Doctorates.. 16-34 General Regulations for the Award of the DPhil on the Basis of Published Work. General Regulations for the Award of the Degree of Doctor of Medicine (MD) on the Basis of Published Research General Regulations for Candidates Intending to Proceed by Thesis.. Admissions Research Proposal or Plan. Method and Period Of Study Extension of Time and Suspension of Studies.. Supervision. Annual Review The Thesis The Examination 4. Procedures for Postgraduate Studies by Research... 35-44 Recruitment and Organisation Preliminary Discussions.. Application. Offer Letter Registration.. Suspension of Studies. Fees Facilities Provided to Research Students. Progress Submission of Thesis.. Appeals Procedure. 1

Appeals against Decisions on Disciplinary Matters.. Complaints Procedure.. 5. Rules and Guidelines for the Form and Submission of Theses 45-53 Appendices 1. Application for Admission as a Postgraduate Student 55 2. Checklist for Registration of a Research Student 64 3. Guidelines for the Annual Review 66 4. Notice of Intention to Submit a Thesis for a Higher Degree 5. Progress Report Template 70 72 6. Code of Practice for Study by Research 73 7. Postgraduate Feedback Questionnaire 76 8. Application for Extension of Time for Masters/MPhil/DPhil 85 9. Supervisor Workload Monitoring Form 87 10. Grade descriptors for MA by Research 89 11. Grade descriptors for MSc by Research 91 12. Grade descriptor for the LLM by Research 93 13. External Examiners Nomination and Approval Form 96 14. Report on thesis submitted for a Research Degree 100 15. Transfer Form From MSc/MA/LLM to MPHIL/DPhil Meeting Report 108 16. Restriction on Access to a Thesis/Dissertation 109 17. UK Quality Code: Chapter B11: Research Degrees (Indicators and Expectations) 112 2

INTRODUCTION As a research student you are an important member of the University s academic community. You will become an expert in your field, maybe even a world expert. You will work closely with staff and may, with the approval of your supervisor and head of department, perform teaching or other responsibilities for undergraduate or taught Master s students. Research can be a lonely occupation and requires a great deal of self-discipline, even for the most dedicated scholar. Do take advantage of the help offered by your supervisor, your department, and other departments and agencies both within and outside the University. Your relationship with your supervisor is vital to the success of your studies. If you encounter any difficulties with your studies or with any other aspect of University life, try initially to resolve them with your supervisor. If this is not possible, then refer the matter to your Research Officer. If your first language is not English, and you would like to improve your language skills, you are advised to visit the Language Centre and seek the advice of EFL staff. They will recommend videos, cassette tapes, and study-skills leaflets and can advise on English language classes if these are considered appropriate. Buckingham has developed a strong welfare system to address any problems you may have. The Student Welfare team is organised under the leadership of the Senior Tutor who has responsibility for pastoral care and also deals with breaches of general regulations. The team also consists of two Deputy Senior Tutor with specific responsibility for disciplinary issues, and the administration of the Student Hardship Fund. The Senior Tutors work closely with the Student Welfare Department. This supports students' physical and emotional welfare as well as their academic learning. The department comprises of a Welfare Adviser, a Welfare Officer, a Counsellor and a Learning Support/Disability Officer as well as two secretaries. It offers support, advice and a referral service to students experiencing or wishing to discuss personal concerns, and emotional or physical health issues. In order to ensure that you are making satisfactory progress and to give you an opportunity to express any concerns about your studies, you will be subject to periodical reviews held at least once each year. These reviews will also give you an opportunity to prepare for your final viva voce examination (if applicable). Make sure you are familiar with the process of annual review and the requirements for submission of your thesis (see the procedures in this handbook), and discuss with your supervisor the arrangements for the viva voce so that you can be properly prepared. 3

1 HIGHER DEGREES 4

RESEARCH DEGREES 1.1 The University of Buckingham offers a full range of research degrees. If you are interested in studying for a research degree, please contact the University Admissions Office (admissions@buckingham.ac.uk) who will put you in contact with an appropriate member of the academic staff. Students may undertake research in any of the areas of study offered at the University for which effective arrangements for supervision can be made. Undertaking research for a higher degree is a deeply rewarding experience: you become an expert (maybe even a world expert) in your field of study. However, it also requires patience, selfdiscipline, and determination, and the ability to work in a self-directed and independent manner. It is important, because of this, to play as full a part in the life of the University as you can, and to take advantage of the social and support services that the University offers. The University prides itself on the high level of personal attention that it is able to offer to individual students, and this particularly applies to its research students. They are offered support and advice in the selection of a suitable topic for research. Individual arrangements are made with them to provide the support they need to undertake effective research. They have regular meetings with their supervisor and their progress is closely monitored. For MPhil and DPhil students an Annual Review is held to evaluate progress, to ensure that there are appropriate plans for continuing the research over the next year, to review the work plan and timetable for the research, and to provide an opportunity for considering the arrangements for supervision. The prescribed periods of study described in sections 1.2 to 1.5 and for supervised research in section 1.6 may be reduced or extended with the agreement of the University Research Committee, as described in section 3.44. MA - MASTER OF ARTS 1.2 The degree of Masters of Arts (MA) is available both as a research degree and as a taught degree. Candidates seeking the degree on the basis of research undertake one year of supervised research (two years if studying part-time) on a topic in an area for which the first degree would be the degree of Bachelor of Arts, at the end of which they submit a dissertation embodying the results of their research. Candidates seeking the degree as a taught degree follow a prescribed curriculum and are assessed by examination, or by examination and dissertation. The degree is classified Pass, Merit, Distinction. (Grade descriptors for the research degree are given as Appendix 9.) Candidates submitting a successful (i.e. passing) thesis for the degree award of MA by Research must have demonstrated in their final written submission: i. Familiarity with, and systematic understanding of their chosen research subject, its primary and secondary sources and its principal authorities, much of which is at, or informed by, the forefront of their academic discipline or field of study; ii. Critical discrimination and a sense of proportion in evaluating evidence and the judgements of such sources and authorities; iii. Dealing with their subject in a competent and scholarly manner that evidences (a) understanding of the methodologies and techniques applicable to their own research (b) an ability, when appropriate, to critique such methodologies and techniques, and to propose new hypotheses (c) originality in the application of knowledge to their specific research topic; iv. Their ability to conduct independent research in a self-directed, autonomous manner, exercising judgement and discrimination, and to communicate their findings clearly to specialist and non-specialist audiences; v. Presentation of their research in a coherent and organized manner, at a professional or equivalent level (e.g. by means of consistent adherence to an established style guide or scholarly house style). 5

Candidates for the degree of MA must already hold a good honours degree or the equivalent. The candidate, with the help of the supervisor, refines the proposal for the research, including developing a work plan and identifying requirements for support and resources and how these will be met. MSc MASTER OF SCIENCE 1.3 The degree of Master of Science (MSc) is available both as a research degree and as a taught degree. Candidates seeking the degree on the basis of research undertake one year of supervised research (two years if studying part-time) on a topic in an area for which the first degree would be the degree of Bachelor of Science, at the end of which they submit a thesis embodying the results of their research and normally have an oral examination. Candidates seeking the degree as a taught degree follow a prescribed curriculum and are assessed by examination, or by examination and dissertation. The degree is classified Pass, Merit, Distinction. (Grade descriptors for the research degree are given as Appendix 10.) Candidates submitting a successful (i.e. passing) thesis for the degree of MSc by Research must have demonstrated in their final written submission: i. Familiarity with, and understanding of the chosen research subject; ii. Critical discrimination and a sense of proportion in evaluating evidence and the judgements of others in the field of study; iii. Analysis of research issues in the field of study, which is informed by current Knowledge; iv. The formulation of a hypothesis to address a research issue; v. Understanding of the methodologies and techniques applicable to their own Research; vi. The design and conduct of experiments that, if the chosen hypothesis were correct, Would contribute to publications or conference presentations; vii. An ability to analyse data, to interpret it in relation to current understanding of the Field, and to discuss its limitations; viii. An ability to conduct research independently in a self-directed, autonomous manner, And to communicate findings clearly; ix. The coherent and organized presentation of material at a near-professional or equivalent level (e.g. by means of consistent adherence to an established style guide. Candidates for the degree of MSc must already hold a good honours degree or the equivalent. The candidate, with the help of the supervisor, refines the proposal for the research, including developing a work plan and identifying the requirements for support and resources and how these will be met. LLM - MASTER OF LAWS 1.4 The degree of Master of Laws (LLM) is available both as a research degree and as a taught degree. Candidates seeking the degree on the basis of research undertake one year of supervised research on a topic relating to law (two years if they are studying parttime) at the end of which they submit a thesis embodying the results of their research. (Grade descriptors for the research degree are given as Appendix 11.) Candidates seeking the degree as a taught degree follow a prescribed curriculum and are assessed by examination or by examination and dissertation. 6

This thesis: i. Must demonstrate familiarity with, and an understanding of the subject, its principal sources and authorities. ii. It should display critical discrimination and a sense of proportion in evaluating evidence and the opinions of others. The subject should be dealt with in a competent and scholarly manner. Candidates who are awarded the degree of LLM will have demonstrated their ability to conduct independent research using a range of primary and/or secondary sources and to present this in an organized, coherent, and scholarly manner. Candidates for the degree of LLM must already hold a good honours degree or the equivalent in law or with a substantial law component. The candidate, with the help of the supervisor, refines the proposal for the research, including developing a work plan and identifying the requirements for support and resources and how these will be met. MPhil - MASTER OF PHILOSOPHY 1.5 The degree of Master of Philosophy (MPhil) is a degree that is awarded on the basis of a thesis embodying the results of supervised research. Despite the name of the degree, it may be awarded in any subject or discipline. Candidates spend a period of two years full-time or four years part-time undertaking supervised research, at the end of which they submit a thesis embodying the results of that research. This thesis: i. Must demonstrate familiarity with, and an understanding of the subject, its principal sources and authorities. ii. Should display critical discrimination and a sense of proportion in evaluating evidence and the judgements of others. iii. Must advance understanding in the field or area of study concerned, for example through a contribution to knowledge or by means of a commentary on existing knowledge. iv. The subject should be dealt with in a competent and scholarly manner. The candidate must show, by means of the thesis or in the oral examination, that he or she appreciates the relationship of his or her special work to a wider field of knowledge. Candidates for the degree must already hold a good honours degree or equivalent. The candidate, with the help of the supervisor, refines the proposal for the research, including developing a work plan and identifying the requirements for support and resources and how these will be met. DPhil - DOCTOR OF PHILOSOPHY 1.6 This degree may be obtained in one of two ways: through a period of supervised research and the submission of a thesis, or through the submission of a portfolio of published work. The standard required for the award of the degree is the same in both cases. The degree awarded by the University of Buckingham is known as a DPhil (Doctor of Philosophy) regardless of the field of study concerned. 7

Supervised research: Candidates seeking the degree of Doctor of Philosophy on the basis of a thesis embodying the results of supervised research must already hold a good honours degree or the equivalent. The candidate, with the help of the supervisor, refines the proposal for the research, including developing a work plan and identifying the requirements for support and resources and how these will be met. Except in cases where a candidate has already demonstrated an ability to conduct research at an advanced level, students are registered initially for the degree of MPhil (Master of Philosophy). Registration is upgraded to DPhil, normally between 12 and 18 months from first registration, once the student has demonstrated through the submission of draft written work that he or she has the ability to conduct research at the advanced level required for the award of the degree. The period of study required for the award of a DPhil is three years full-time or six years part-time. At the end of this period (or earlier in exceptional cases), the candidate submits a thesis embodying the results of the research. This thesis: i. Must demonstrate familiarity with, and an understanding of the subject, its principal sources and authorities. ii. Should display critical discrimination and a sense of proportion in evaluating evidence and the opinions of others. iii. Must also embody a significant and original contribution to the knowledge of the discipline either by the discovery of new knowledge, or by the exercise of a new and independent critical approach, for example through the discovery of new knowledge, the connection of previously unrelated facts, the development of new theory, or the revision of older views. iv. A thesis should therefore contain matter worthy of publication, although it need not be submitted in a form which is suitable for immediate publication. Published Work: Candidates seeking the degree of DPhil on the basis of published work must be graduates of the University of Buckingham or members of staff of the University of Buckingham. Graduates of other universities seeking to obtain a doctorate on the basis of published work should contact the university from which they graduated. The criteria for the award of the degree on the basis of published work are the same as those for the DPhil for supervised research (see paras 3.14-3.22). The candidate must submit published work which gives clear proof of a significant and original contribution to the knowledge of the discipline either by the discovery of new knowledge, or by the exercise of a new and independent critical approach, for example the connection of previously unrelated facts, the development of new theory, or the revision of previously held views. In the case of DPhil by published work the candidate must show, by means of a commentary on the submitted work and in the oral examination, that he or she appreciates the relationship of his or her special work to a wider field of knowledge. The commentary must be in the region of 20,000 words. Registration must be for a period of one year minimum during which time the candidate will have regular supervisions with the supervisor and be guided in accordance with the same process and provision as if registered for the DPhil by research programme. 8

1.6.1 Integrated PhD Sarajevo School of Science and Technology (SSST) Students at the Sarajevo School of Science and Technology may be admitted to undertake an Integrated Doctoral Programme which has a taught phase and a research phase. The taught phase will last for a minimum of one year and a maximum of two years. The minimum length of the degree will be 4 years. HIGHER DOCTORATES 1.7 These degrees represent the pinnacle of academic achievement. They are awarded to candidates who have already established a position as a leading authority through their contribution to scholarship. Candidates must have published work which gives clear proof that the candidate is a leading authority in the field of study concerned and has made an original and distinguished contribution to the advancement or application of knowledge in that field. Candidates must also be graduates of the University of Buckingham or members of staff of the University of Buckingham. Graduates of other universities seeking a higher doctorate should contact the university from which they graduated. The degrees awarded as higher doctorates are the LLS (Doctor of Laws), the DLitt (Doctor of Letters), and DSc (Doctor of Science). 9

2 ROLES AND RESPONSIBILITIES OF RESEARCH OFFICER, SUPERVISOR, STUDENT 10

Fig. 1: Structure of Governance Senate Research Committee Chairman Research Officers Research Officer First Supervisor + Second Supervisor Postgraduate Research Student Personal Tutor 2. ROLE AND RESPONSIBILITIES OF THE RESEARCH OFFICER 2.1 Each School, or significant area of research activity, has a senior academic to act as overseer of post-graduate research students: the Research Officer. There are five Research Officers at the present time, in Business, Metabolic Research/Clore Lab, Humanities, Law, and Science and Medicine. The Research Officers meet termly, at the University Research Committee. 2.2 The responsibilities of the Research Officer shall include: i. appointing appropriate supervisors in their area, and inducting new supervisors; ii. iii. iv. requesting and collating the supervisors termly reports on postgraduate research students in their area, and presenting the reports to the Research Committee; [for MPhil/DPhil students (not for Masters students)] organising an Annual Review in which the student's progress during the previous year is evaluated and the proposals for the forthcoming year outlined (see paras 3.55 3.56). This should provide the student with practice in oral examinations, but should also include written reports from the first supervisor and the student on which to base further discussion. Following the Annual Review the Research Officer will prepare a brief report. A copy of this must be given to the student, and another copy sent to the Registry Officer for inclusion in the student s central file. problem-solving in their area. For example, where a student s first supervisor leaves the University, the Research Officer may either permit a transfer of registration to the supervisor s new institution (if appropriate), or appoint an alternative supervisor (normally in consultation with the student). 11

ROLE AND RESPONSIBILITIES OF THE SUPERVISOR 2.3 There are normally two supervisors per student, called the first and second supervisor (see 3.48 3.54). Their role is to lead the student through a successful apprenticeship in research in their area, to guide their project, hopefully towards the successful completion of the degree for which they are enrolled. (The following procedure reflects the general recommendations of the Quality Code: Chapter B11: Research Degrees. 2.4 The responsibilities and duties of the supervisor shall include: i. Ensuring that s/he has sufficient time to take on a new postgraduate research student, where appropriate via sensible discussion with the Dean/sub-Dean based on the Supervisor Workload Monitoring Form (Appendix 8). ii. iii. iv. Checking at the beginning of a student s studies that an appropriate Personal Tutor has been appointed. Assisting the student with the preparation of the research proposal/plan, and ensuring that this is completed within the time-limits specified in the General Regulations for Candidates Intending to Proceed by Thesis (see para 3.41). Providing guidance to the student on, and talking through with the student at least the following: (a) (b) (c) (d) (e) the Postgraduate Feedback Questionnaire (Appendix 6), as a means of considering responsibilities and entitlements, and the process of the degree; sections of this Research Degrees Handbook, highlighting at the appropriate time the parts relevant to the progression of the student s studies; the nature of research and the standards expected; requisite techniques; the literature and resources available. This should include directing the student to the subject-specialist librarian for induction and for SCONUL card and Athens password to electronic resources. v. Providing guidance to the student on the wide range of ethical issues that may potentially arise in the course of research thereby raising student awareness and informing the student of the University s framework for the promotion and consideration of ethics in relation to research: i.e. the working of the University s Ethics Committee; the working of the School Ethics Committee, or the committee within the School where ethical issues are considered; the Code of Practice for Study by Research (Appendix 5); School-specific ethical guidelines, where these exist; other ethical codes in the research area; vi. vii. viii. Providing guidance to the student on the issue of plagiarism raising student awareness and informing the student of the academic and University s antiplagiarism code, including the seriousness of plagiarism as viewed by the wider academic and professional community (Appendix 12).Guiding the student on copyright and the need to obtain permission from third parties. Checking the work submitted for the annual report and the draft thesis for evidence of plagiarism using Turnitin and discussing with the student any issues that arise. Taking special care of overseas students. The supervisor has a specific responsibility for care of overseas students in that they may need frequent 12

contact in the early stages of their studies. Problems with English language must be highlighted and where necessary appropriate advice about English language training given (see para 3.36). ix. ix Maintaining contact through regular meetings in accordance with the General and Special Regulations for Higher Degrees to ensure that the student's progress remains focused and progress is maintained within the student's overall plan. Being accessible to the student at other appropriate times when the student may need advice. x. Advising on the necessary completion dates of successive stages of the work so that the work may be submitted within the scheduled time. xi. xii. xiii. xiv. xv. Requesting written work as appropriate, and returning such work with constructive criticism within a reasonable time. ensuring that the student is made aware of inadequacy of progress or of standards of work below that generally expected. Providing a brief termly report on the student, in the prescribed format, to the Research Officer, for consideration by the Research Committee; and, in addition, for an MPhil/DPhil student, a brief annual report to the Research Officer as part of the Annual Review (see para 3.55). Ensuring that the student is made aware of any subsidiary guidelines, which may be provided by the Degree Programme. Reading the thesis in its near-final or final form, and approving for submission for examination, or recording any reservations, via completion of the Notice of Intention to Submit a Thesis for a Higher Degree (end of Appendix 4). ROLE AND RESPONSIBILITIES OF THE STUDENT 2.5 A postgraduate research student should work diligently in their research, gradually taking ownership of their project, while being guided by their supervisor(s) towards the project s completion. 2.6 The responsibilities of the student shall include: i. The preparation of a fully-fledged research proposal/plan, with the support and guidance of the supervisor, within the timeframe specified in the General Regulations for Candidates Intending to Proceed by Thesis (see para 3.41). ii. iii. iv. Discussing with the supervisor the type of guidance and comment he or she finds most helpful, and agreeing a schedule of meetings. Taking the initiative in raising problems or difficulties at meetings, however elementary they may seem. Maintaining the progress of the work in accordance with the schedule agreed with the supervisor, including in particular the presentation of written material as required. v. Considering carefully the importance of avoiding plagiarism taking heed of the academic and University s antiplagiarism code, including the seriousness of plagiarism as viewed by the wider academic and professional community 13

(Appendix 12). Checking the work submitted for the annual report and the draft thesis for evidence of plagiarism by using Turnitin. Checking copyright issues and the need to obtain permission from third parties. vi. Considering carefully the importance of ethical questions in research and the need to consider University (and where relevant Departmental) guidelines (Appendix 5). vii. viii. ix. (for MPhil/DPhil students, not for Masters students) providing a brief annual report on progress to the Research Officer, to form part of the Annual Review. It will also be usual for the student to submit a part-chapter or chapter, and/or to prepare a brief presentation of their work, and to deliver this at the Annual Review. Deciding when he or she wishes to submit in accordance with the General Regulations for Higher Degrees, having taken the advice of his or her supervisor. Consulting with the supervisor before undertaking any work requested or assigned by another member of staff. x. Contacting their Personal Tutor for pastoral support when concerns or problems arise. MATTERS RELATING TO RESPONSIBILITIES 2.7 Where a student or supervisor has difficulty in establishing a good working relationship with the other, this should be reported to the Research Officer for resolution. If the problem cannot be resolved by the Research Officer the matter should be referred to the Research Committee. The Complaints Procedure should only be used as a last resort (paras 4.51 4.55). 2.8 The division of responsibilities between supervisors should always be clear, as, for example, between first and second supervisors, or where there are two joint supervisors, or a supervisory team. The principle supervisor allocated to a student, should be an employee of the University. The precise division of responsibilities between supervisors should be made clear at the Annual Review and if necessary be a point of discussion at the Review. 2.9 Where the Supervisor and the Research Officer are one and the same person the rules outlined above are to be read with common sense. 14

15

3 REGULATIONS 16

GENERAL REGULATIONS FOR HIGHER DEGREES The following procedure reflects the general recommendations of the QAA Quality Code: Chapter B11 3.1 The higher doctorates (the degrees of LLD, DLitt, and DSc) may be awarded on the basis of published work. 3.2 The degree of DPhil may be awarded either on the basis of a programme of supervised research assessed by means of a thesis or on the basis of published work. 3.3 The degree of MPhil may be awarded on the basis of a programme of supervised research assessed by means of a thesis. 3.4 The degrees of MA, MSc, and LLM may be awarded either on the basis of a programme of taught courses and assessment by examination or by examination and dissertation or on the basis of a programme of supervised research assessed by means of a thesis. These last are called the MA by research, the MSc by research, and the LLM by research respectively. The regulations for these degrees are set out below. GENERAL REGULATIONS FOR THE AWARD OF HIGHER DOCTORATES 3.5 The degrees of Doctor of Laws (LLD), Doctor of Letters (DLitt), and Doctor of Science (DSc) may be conferred on: i. graduates of this University of not less than seven years standing; ii. holders of a higher degree of this University of not less than four years standing; iii. graduates of another University of not less than seven years standing who have also held an appointment as a member of staff of this University for at least two years. 3.6 Candidates must have fulfilled such conditions as are prescribed below and have submitted published work which, in the opinion of the examiners, gives clear proof that the candidate is a leading authority in the field of study concerned and has made an original and distinguished contribution to the advancement or application of knowledge in that field. 3.7 A person wishing to be admitted to the degree shall submit to the Registry Officer, with the appropriate fee, three copies of: i. a list of the published works upon which the application is based. The list should indicate whether and with what result any of the works have previously been submitted for any degree of any university or awarding body; ii. a supporting statement indicating the area of knowledge to which the published work relates and the ways in which it makes an original and distinguished contribution to the advancement or application of knowledge meriting the award of the degree; iii. where any of the works submitted have been produced jointly with others, a written statement signed by the other contributors to the works concerned indicating the share which the candidate took personally in the work; iv. the published works upon which the application is based. 3.8 The works submitted as part of the application must be published and freely available. Unpublished work, or material in the course of being published, will not be accepted. Work which has successfully been submitted for the award of a degree at this or any 17

other university or awarding body can only be considered as supporting material explaining the context or background to other works submitted. All the works submitted shall be written in English, except where the prior approval of the Research Committee has been given for the submission of work in another language. 3.9 Any application for the degree shall first be considered by the Dean who, after such consultation as may be considered necessary or desirable, shall determine whether in his or her opinion there is a prima facie case for the award of the degree. Where the Dean is of the opinion that a prima facie case has been made, s/he shall proceed to nominate examiners for the degree to be appointed by Senate and where applicable to be approved by the Academic Advisory Council. Where the Dean is not of the opinion that there is a prima facie case for the award of the degree, the candidate shall be so informed and the published works submitted shall be returned together with such portion of the fee as is prescribed. 3.10 There shall be three examiners for the degree, at least two of whom shall be external examiners. The examination shall consist of a consideration of the works and prescribed materials submitted. In cases where the examiners consider it desirable, the candidate may be given an oral examination on the works submitted and on the general area of knowledge to which they relate. 3.11 Each examiner shall make an independent report on the published works and shall indicate whether in his or her opinion the candidate has achieved the standard required for the award of the degree and whether an oral examination should be held. Each examiner should be present at any oral examination, and shall sign a joint statement of the result of the oral examination. 3.12 The reports and statement of the examiners shall be considered by the Research Committee which may recommend to Senate the award of the degree, permit a further examination on such conditions as it sees fit, or decline to award the degree. Except where the Research Committee permits further examination, no further application for the award of the degree may be made until the expiry of at least two calendar years from the date upon which any previous application was made. 3.13 Where Senate confirms the award of the degree, one copy of the works and prescribed materials submitted shall be deposited in the University Library. Except where the nature of the publications renders this impracticable (for instance where they are in book form), they should be bound together with the prescribed materials in a form similar to that required by the Rules for the Form and Submission of Theses for Higher Degrees. GENERAL REGULATIONS FOR THE AWARD OF THE DPhil ON THE BASIS OF PUBLISHED WORK 3.14 The degree of DPhil on the basis of published work may be conferred on: i. graduates of this university of not less than five years standing; ii. graduates of another university of not less than five years standing who have also held an appointment as a member of staff of this university for at least two years; iii. graduates of another university of not less than five years standing who have also held a Fellowship of this university for at least two years. 3.15 Candidates must have fulfilled such conditions as are prescribed below and have submitted published work which, in the opinion of the examiners, gives clear proof of a significant and original contribution to learning, for example through the discovery of new knowledge, the connection of previously unrelated facts, the development of new theory, 18

or the revision of older views. The standard required for the degree is the same as that required for a DPhil. 3.16 In the first instance, a person wishing to pursue a DPhil by published works should contact the appropriate Research Officer, who will identify an appropriate supervisor. The supervisor will be appointed for a minimum of 12 months and be responsible for providing assistance to the student in preparing the submission for the degree. In due course, the submission for the degree will be delivered to the Registry Officer, with the appropriate fee, and will comprise three copies of: i. a list of the published works upon which the application is based. The list should indicate whether and with what result any of the works have previously been submitted for any degree of any university or awarding body; ii. a supporting commentary indicating the area of knowledge to which the published work relates and the ways in which it makes a significant and original contribution to learning meriting the award of the degree; iii. where any of the works submitted have been produced jointly with others, a written statement signed by the other contributors to the works concerned indicating the share which the candidate took personally in the work; iv. the published works upon which the application is based. v. a curriculum vitae. 3.17 The works submitted as part of the application must be published and freely available. Unpublished work, or material in the course of being published, will not be accepted. Work which has successfully been submitted for the award of a degree at this or any other university or awarding body can only be considered as supporting material explaining the context or background to other works submitted. All the works submitted shall be written in English, except where the prior approval of the Research Committee has been given for the submission of work in another language. 3.18 Any application for the degree shall first be considered by the Research Officer and or supervisor (for DPhil by Publication) who, after such consultation as may be considered necessary or desirable, shall determine whether in his or her opinion there is a prima facie case for the award of the degree. Where the Research Officer and supervisor is of the opinion that a prima facie case has been made, s/he shall proceed to nominate examiners for the degree to be appointed by Senate and where applicable to be approved by the Academic Advisory Council. Where the Research Officer and supervisor is not of the opinion that there is a prima facie case for the award of the degree, the candidate shall be so informed and the published works submitted shall be returned. 3.19 There shall be three examiners for the degree, at least two of whom shall be external examiners. The examination shall consist of a consideration of the works and prescribed materials submitted together with the commentary and an oral examination on the works submitted. 3.20 Each examiner shall make an independent report on the published works and the commentary before the oral examination, shall be present at the oral examination, and shall sign a joint statement of the result of the oral examination. 3.21 The reports and statement of the examiners shall be considered by the Research Committee which may recommend to Senate the award of the degree, permit a further examination on such conditions as it sees fit, or decline to award the degree. Except where the Research Committee permits further examination, no further application for the award of the degree may be made until the expiry of at least two calendar years from the date upon which any previous application was made. 19

3.22 Where Senate confirms the award of the degree, one copy of the works and prescribed materials submitted shall be deposited in the University Library. Except where the nature of the publications renders this impracticable (for instance where they are in book form), they should be bound together with the prescribed materials in a form similar to that required by the Rules for the Form and Submission of Theses for Higher Degrees. GENERAL REGULATIONS FOR THE AWARD OF THE DEGREE OF DOCTOR OF MEDICINE (MD) ON THE BASIS OF PUBLISHED RESEARCH 3.23 The degree of Doctor of Medicine shall be awarded to medical graduates for original published contributions of excellence in any branch of medical science. The degree of MD on the basis of published work may be conferred on: i. holders of the degrees of Bachelor of Medicine and Bachelor of Surgery (MB BS), or equivalent approved medical qualifications, of not less than five years standing who have held an appointment as a member of staff of this university for at least two years; ii. holders of the degrees of MB BS, or equivalent approved medical qualifications, of not less than five years standing who have held a Fellowship of this university for at least two years. 3.24 Candidates must have fulfilled such conditions as are prescribed below and have submitted published work which, in the opinion of the examiners, gives clear proof of an original contribution to learning in the field of medical science. 3.25 In the first instance, a person wishing to be registered on a programme of study should contact the appropriate Research Officer, who will identify an appropriate supervisor. The supervisor will be appointed for a minimum of 12 months and be responsible for providing assistance to the student in preparing the submission for the degree. In due course, the submission for the degree will be delivered to the Registry Officer, with the appropriate fee, and will comprise three copies of: i. a list of the published works upon which the application is based. The list should indicate whether and with what result any of the works have previously been submitted for any degree of any university or awarding body; ii. a supporting commentary indicating the area of knowledge to which the published work relates and the ways in which it makes an original contribution to medical learning meriting the award of the degree; iii. where any of the works submitted have been produced jointly with others, a written statement signed by the other contributors to the works concerned indicating the share that the candidate took personally in the work; iv. a curriculum vitae. v. the published works upon which the application is based. 3.26 All applications will be considered first by the Dean who, after such consultation as may be considered necessary or desirable, shall determine whether in his/her opinion there is a prima facie case for the award of the degree. 3.27 Where the Dean is of the opinion that a prima facie case has been made, the candidate will be asked to submit two copies of the works upon which the application is based, together with the required fee. Additional work, published or unpublished, may be 20

submitted in support of the application. Permanently bound copies are acceptable if the work is already in that format. Where the Dean is of the opinion that a prima facie case has not been made, the candidate will be so informed and all submitted materials will be returned. 3.28 The submitted work shall be assessed by two examiners, at least one of whom shall be an external examiner. The examination shall consist of a consideration of the works and materials submitted, with an oral examination on these works and on the general area of knowledge to which they relate. 3.29 Each examiner shall make an independent report on the published works before the oral examination; they shall be present at the oral examination, and they shall sign a joint statement of the result of the oral examination. 3.30 The reports and joint statement of the examiners shall be considered by the Research Committee which may recommend to Senate the award of the degree, permit a further examination on such conditions as it deems fit, or decline the award of the degree. Except where the Research Committee permits further examination, no further application for admission to the degree may be made until the expiry of at least two calendar years from the date upon which any previous application was made. 3.31 Where Senate confirms the award of the degree one copy of the works and prescribed materials shall be deposited in the University Library. Except where the nature of the publication renders this impracticable (e.g. where they are in the form of a book), or where bound copies were submitted originally, the submitted works should be bound together with the prescribed materials in a form similar to that required by the Rules for the Form and Submission of Theses for Higher Degrees. GENERAL REGULATIONS FOR CANDIDATES INTENDING TO PROCEED BY THESIS 3.32 The degree of MA, MSc, LLM (by research), MPhil, or DPhil may be conferred on graduates of this University or on those of other Universities or on such other persons as may be deemed acceptable by Senate. (In the case of the LLM the qualifying degree must be in Law or in a degree with a substantial Law component.) Candidates must have: i. undertaken such research as approved by Senate for not less than the period prescribed below; ii. fulfilled such other conditions as may be prescribed below; iii. submitted the results of their research in a thesis satisfactory to the Examiners appointed by the University who at their discretion may further examine the candidate in any matters relating to the research and the thesis. 3.33 A member of staff of the University may be registered on a programme of study as a candidate for a higher degree if he is a full-time member of the academic, library, administrative or other related staff of the University; research or analogous staff may be similarly registered on a programme of study. The normal regulations for higher degrees will apply in the case of such candidates. ADMISSION 3.34 A person wishing to begin a course of research for a higher degree by thesis shall apply as indicated on the website or send to the Admissions Officer an application on the prescribed form (Appendix 1) see QAA Quality Code: Chapter B11 21

3.35 The application must be scrutinised and agreed by at least two members of academic staff in the area of study, one of whom may be the Research Officer. They should draw on the full range of information supplied by the prospective student, and may if necessary require the student to attend for interview or ask for further information from the student, or from referees, so as to ensure that only a student appropriately qualified and prepared commences work on a higher degree. In some areas of study, it is normal to require a research proposal from the prospective student, which will allow the academic staff to determine if appropriate supervision can be offered. Any special needs or disabilities should ideally be declared prior to commencement, but must be dealt with as they emerge between the Admissions Tutor and Student Welfare. 3.36 In the process of admission particular care must be taken with English language level. Entry level should normally be in the range IELTS 6.0 6.5, though Admissions Tutors retain discretion in this regard. Where there is any doubt or concern about an applicant s language level, the Admissions Tutor should seek more information (via interview, sample essays, telephone/web interview) to assess more precisely the applicant s level in relation to the demands of the particular degree. If an applicant has potentially borderline language level and is registered on a programme of study, it must be with the proviso that s/he takes pre-sessional courses to improve his or her language level before formally commencing the degree or alternatively takes language-support courses to run in parallel with the degree. 3.37 A Checklist for Registration of a Research Student (Appendix 2) must be completed for each registering student. Departments may vary the Checklist to their particular needs but the main heads should remain. A copy of the Checklist should be sent for approval to the Research Officer and copied to the Admissions Officer. Admission is subject to approval by the Research Officer. Only the Admissions Office may make an offer of admission on behalf of the University. 3.38 The Offer Letter to the prospective student constitutes a contract between the student and the institution. Departments may vary the standard template letter, but must retain the main sets of information, including the approximate total fees, the expected period of study, the arrangements for enrolment and registration, and the references to this Handbook and to other relevant website material. 3.39 Students intending to proceed to the DPhil would normally be first registered on the MPhil programme. A student who has been registered on the MPhil programme may apply for an upgrade to the DPhil after not less than one academic year. A student who has been registered on the MA by Research, MSc by Research or LLM by Research programme(s) shall not normally be permitted to transfer to the MPhil/DPhil. If however this is deemed appropriate (see the last paragraph of this regulation 3.39), the following steps should be adhered to: i. the research project must be scrutinized by the supervisor(s) and the Research Officer, to check that it is appropriate to the higher level of degree; ii. a transfer meeting must be held with student, supervisor(s) and Research Officer, and if the outcome approves the re-registration, the application to re-register as an MPhil/DPhil student form should be completed (see Appendix x) and sent to Registry; iii. the student will then be re-registered onto the MPhil/DPhil programme as an MPhil student in the first instance; iv. the student should be made aware of the new requirements for the higher degree in the Research Degrees Handbook. As the work carried out at Masters level can be carried over to the higher degree, the time spent at Masters level should also be able to count directly towards the DPhil, if that is deemed appropriate by the supervisor(s) and the Research Officer. Thus it is possible 22

for the re-registering student to complete their PG research studies three years after commencing. The timing of the first Annual Review after re-registration is flexible, but would not normally take place within the first six months after re-registration onto the MPhil/DPhil programme. The exact timing will depend on the progress the student has made during the Masters level period and how easily they adapt to working at the MPhil/DPhil level. It should be remembered that work at a Masters level has different expectations, descriptors, etc. from work at MPhil/DPhil level (see section 1 of the Research Degrees Handbook). Although one year will have been spent on work at Masters Level this is not necessarily at the same level as one year on an MPhil/DPhil. Therefore, before any change in status to DPhil a student would need to demonstrate that they were achieving the level of MPhil and all things being equal capable of achieving work of a DPhil level. RESEARCH PROPOSAL OR PLAN 3.40 At the commencement of studies for all higher degrees by research the student and supervisor(s) must work together to develop or refine the research proposal/plan. The research proposal should specify i. the field of study; ii. the working title; iii. an outline of the proposed plan of work; iv. the facilities available for the investigation (an outline bibliography, for example), and, where appropriate, the resources identified elsewhere; v. any additional support, including supporting studies, that the student will require. 3.41 For an MPhil/DPhil student, the research proposal must be available at the first Annual Review (see paras 3.55 3.56), and will form an important part of the discussion at the Review. For Masters level students by research (MA, MSc, LLM), the research proposal should normally be fully evolved and a work-in-progress by the end of the second term of study (fourth term for part-time students). 3.42 If the research proposal for MPhil/DPhil is not considered satisfactory at the first Annual Review, the review panel may grant an extension of time to achieve a satisfactory proposal or may terminate the student s studies. If the research proposal at Masters level is not considered satisfactory after two terms by the supervisor(s) and the Research Officer (after four terms for part-time students), they may grant an extension of time to achieve a satisfactory proposal or may terminate the student s studies. In both instances the student will be informed from the Registry by letter, which will indicate the student s right of appeal (see paras 4.46 4.56). A student who withdraws or whose studies are terminated within the first six months from registration will not count for the purposes of completion statistics. METHOD AND PERIOD OF STUDY 3.43 Candidates may be registered on a full-time or part-time basis. During the time of their study many students will live in or near the university and attend regularly. For those at a distance and/or part-time, individual departments may require the student to spend a stipulated minimum number of days at the university each year to help ensure the progress of their research, and this minimum number of days must be adhered to. The supervisor and student should maintain such appropriate regular serious intellectual contact as will further the student s project in a timely way. Compliance by both the supervisor and the student is ensured in the following three ways: 23