ASTON UNIVERSITY REGULATIONS FOR STUDENTS REGISTERING FOR HIGHER DEGREES BY RESEARCH AND THESIS MPhil and PhD For students registering on or after 1 October 1999 REG/98/244(3) replaces REG/88/320(1)
INTRODUCTION These Regulations cover students wishing to obtain a higher degree by research and thesis. Academic staff, or research students who are appointed to the academic staff before completing the requirements for the MPhil or PhD degree, should ensure they consult the Special Regulations for Academic Staff Candidates available from Registry and Planning Services. MPhil and PhD by Publication students should also consult the appropriate Special Regulations for these programmes. Special Regulations for the Presentation of Theses are also available from Registry and should be consulted before a thesis is submitted. Throughout the Regulations the ultimate authority is the Senate, but the Senate has delegated a number of its functions to the Quality and Standards Committee and to Boards and Committees within each School. Similarly, many of the functions of the Academic Registrar have been delegated to other administrative staff. Questions concerning the registration of a specific research student should be referred in the first instance to the appropriate School Administrator, while more general questions on the Regulations should be addressed to the Chairman or Secretary of the School Research Committees or the Quality and Standards Committee. The Regulations for the degree of Doctor of Science, awarded on the basis of published work, are published separately and are available from the Secretary to the Quality and Standards Committee. Research students and their supervisors are strongly recommended to observe the guidelines in the EPSRC pamphlet 'An Approach to Good Supervisory Practice' or its ESRC counterpart 'The Preparation and Supervision of Research Theses in the Social Sciences'. These are circulated to research students by the appropriate University School on registration. Further copies may be obtained by writing directly to the appropriate Research Council at: Polaris House North Star Avenue Swindon SN2 1ET The main Research Councils are as follows: AHRB (Arts and Humanities Research Board) BBSRC (Biotechnology and Biological Sciences Research Council) EPSRC (Engineering and Physical Sciences Research Council) ESRC (Economic and Social Research Council) MRC (Medical Research Council) NERC (Natural Environment Research Council) PPARC (Particle Physics and Astronomy Research Council) Changes from REG/88/320(1) are indicated by a bar alongside the text. All references to Director of Research apply to Director of Research or their nominee. - 2 -
REGULATIONS FOR STUDENTS REGISTERING FOR HIGHER DEGREES BY RESEARCH AND THESIS Master of Philosophy and Doctor of Philosophy CONTENTS 1. GENERAL 6 1.1 Admission to the Degree 1.2 Nature of the Degree 1.3 Qualification for the Degree 1.4 Circumstances for Tuition Fee Exemption for University Staff. 2. ENTRY QUALIFICATIONS 7 3. APPLICATION 7 3.1 Enrolment and Registration 3.2 Initial Registration 4. DATE AND TYPE OF REGISTRATION 8 4.1 Date of Registration 4.2 Conditional Registration 4.3 Type of Registration 4.4 'Writing-up' 4.5 Specific Registration 5. PROPOSED RESEARCH TOPIC 10 6. SUPERVISION AND PLACE OF WORK 10 6.1 Supervision 6.2 Internal Students 6.4 Sandwich Students 6.4 External Students 7. ASSOCIATE SUPERVISORS, ADVISORS AND EXTERNAL CONTACTS 11 7.1 Associate Supervisors 7.2 Advisors 7.3 External Contacts 8. COURSEWORK 12 Page - 3 -
9. ANNUAL REPORTS BY INTERNAL SUPERVISORS 12 9.1 All Annual Reports 9.2 Qualifying Reports 10. ABSENCE 13 10.1 Work away from the University 10.2 Vacation 10.3 Suspension of Research 11. TRANSFER BETWEEN MPhil AND PhD REGISTRATION 14 12. TERMINATION OF REGISTRATION 15 12.1 Termination by the Student 12.2 Termination by the Internal Supervisor 13. TIME LIMITS FOR SUBMISSION OF THESES 15 13.1 Normal Time Limits 13.2 Extension of Time Limit 13.3 Normal Time Limits 13.4 Extension of Time Limit 14. SUBMISSION OF THESIS BEFORE EXAMINATION 17 14.1 Required Documentation 14.2 Restriction of Access to Theses 14.3 Time Between Submission and Examination 15. APPOINTMENT OF EXAMINERS 17 15.1 Normal Appointment of Examiners 15.2 Early Appointment 15.3 Referee Examiner 15.4 Examiners for New Academic Staff 15.5 Changing an External Examiner 16. ATTENDANCE AT THE ORAL EXAMINATION 19 17. CONDUCT OF THE EXAMINATION 19 18. EXAMINERS' RECOMMENDATIONS 20 18.1 Satisfactory 18.2 Unsatisfactory 18.3 No Agreed Recommendation 19. COMPLETION OF MINOR REVISIONS 21-4 -
20. MAJOR REVISION OF THE THESIS 21 21. EXAMINATION OF A RESUBMITTED THESIS 21 22. EXAMINERS' RECOMMENDATIONS ON A RESUBMITTED THESIS 22 22.1 Satisfactory 22.2 Unsatisfactory 22.3 No Agreed Recommendation 23. SUBMISSION OF THESIS FOLLOWING EXAMINATION 23 23.1 Required documentation 23.2 Distribution of Theses 24. AWARD OF DEGREE 23 25. WAIVERS OF REGULATIONS 23 26. COMPLAINTS BY RESEARCH STUDENTS 24 27. APPEALS BY RESEARCH STUDENTS 25 28. PLAGIARISM AND FRAUD 25-5 -
1. GENERAL 1.1 Admission to the Degree Students of the University may be admitted by the Senate to the higher degrees of Master of Philosophy (MPhil) or Doctor of Philosophy (PhD) on complying with the requirements of these Regulations and with such Ordinances and other Regulations as are relevant. 1.2 Nature of the Degree MPhil The degree of Master of Philosophy may be awarded to a student whose postgraduate research work represents a contribution to knowledge and shows a critical appreciation of existing knowledge in the field. The work must be communicated coherently in a thesis presented in a critical, literary and orderly way and, where appropriate, must show evidence of adequate analysis and discussion of results. PhD The degree of Doctor of Philosophy may be awarded to a student whose postgraduate research work represents a substantial original contribution to knowledge and shows a critical appreciation of existing knowledge in the field. The work must be communicated coherently in a thesis presented in a critical, literary and orderly way and, where appropriate, must show evidence of adequate analysis and discussion of results. 1.3 Qualification for the Degree In order to qualify for the award of a higher degree by research and thesis a student must have: (e) (f) (g) enrolled as a student of the University, registered as a research student, pursued a course of research within the time limits prescribed in these Regulations, presented a satisfactory thesis upon the subject of the research, satisfactorily undergone an oral examination unless, in extraordinary circumstances, a written examination has been substituted under the provisions of Regulation 17, paid the appropriate fees and discharged all other obligations to the University, completed all of these requirements within one year of the date on which the Examiners recommended the award. - 6 -
1.4 Circumstances for Tuition Fee Exemption for University Staff The University encourages staff to enrol on higher degree programmes providing that the Head of School/Department and the Head of Staff Development consider the programme to be relevant to the needs of the School/Department, the University and the individual. Staff who leave the University during the course of study will be allowed to complete that year, but any further financial support will be subject to University approval, depending on the circumstances of the departure. The University will meet the costs of the standard fee for any higher degree programme, but any additional premium fee will be met by either the member of staff or the School/Department in which the individual is employed, if agreed by the Head. The University reserves the right to review the number of staff it supports on such programmes from time to time. 2. ENTRY QUALIFICATIONS The applicant should normally have been awarded either a first or second class Honours degree or a qualification deemed by the appropriate School Committee to provide similar evidence of research potential, approval for purposes of admission of academic awards of any University, College, National Council or Professional Body shall be determined by the appropriate School Committee, applicants whose first language is not English must demonstrate to the School to which they are applying a satisfactory command of written and spoken English before enrolment. 3. APPLICATION 3.1 Enrolment and Registration Before commencing research an applicant for a higher degree by research must: enrol as a student of the University, through the Registry, by completing and submitting the prescribed enrolment form, complete and submit the prescribed form of application for registration in consultation with the proposed Internal Supervisor, to the relevant School Administrator. Successful enrolment does not, of itself, guarantee acceptance of the application for registration. 3.2 Initial Registration Research students may only be registered if approval has been given by the Director of Research and the appropriate School Research Committee for: the student's entry qualifications (See Regulation 2 above) - 7 -
(e) the date and type of registration (See Regulation 4 below) the proposed research topic (See Regulation 5 below) the location of the research work (See Regulation 6 below) the supervisory arrangements (See Regulations 6 and 7 below). 4. DATE AND TYPE OF REGISTRATION 4.1 Date of Registration For students enrolled on or before 6 February 1990: The effective date of registration will be the first day of the term in which the research student enrols. Registration should be completed within three months of the date of enrolment. If an alternative date of registration is sought, then formal approval of the relevant School Research Committee is required. For students enrolled on or after 7 February 1990: The process of registration must be completed within three months of the date on which the student enrols. The student s effective date of registration will be one of the following four dates in the appropriate academic or calendar year: 1 October, 1 January, 1 April or 1 July The date (including the year) is determined and approved by the relevant School Research Committee and will be the date closest to the date on which the student enrols. 4.2 Conditional Registration conditional registration for a period of up to one term may be approved by the appropriate School Research Committee where an applicant is required to pursue courses of instruction and/or attain a prescribed standard in a special examination, if the conditional registration is confirmed by the appropriate School Research Committee, the date of conditional registration becomes the date of registration. 4.3 Type of Registration Research students must be registered on one of the following bases: as a full-time internal student, pursuing full-time research within the University, as a part-time internal student, pursuing research within the University for not less than twelve weeks per year, or equivalent, and not more than twenty-four weeks per year, or equivalent, - 8 -
(e) as a sandwich student, pursuing full-time research of which 30% to 70% of the student's time is spent within the University and the remainder within a collaborating organisation, as a full-time external student, pursuing full-time research outside the University, as a part-time external student, pursuing research outside the University for not less than twelve weeks per year, or equivalent, and not more than twenty-four weeks per year, or equivalent. Where a part-time student is in regular communication with their Internal Supervisor, and where the subject area of the research topic is appropriate, the Internal Supervisor and the Director of Research may request an exemption or significant reduction in the specified period of attendance or residence near the University to the appropriate School Research Committee. The approval of the appropriate School Research Committee is required before a student may transfer to a different category of registration. The normal time limits for each type of registration are listed in Regulation 13, below. 4.4 'Writing Up' A 'writing-up' student is defined as one who, having completed all aspects of their research, is concentrating on writing a thesis, normally away from the University, A research student may not enrol as 'writing-up' before completing the minimum period of research as a full-time or part-time student, defined in Regulation 13 as the earliest date for submission of the thesis, A research student may only be enrolled as 'writing-up' after the School Administrator has received a written request from the Internal Supervisor which also confirms that the student's thesis will be submitted within one year in the case of a full-time student or two years in the case of a part-time student. Where there is both an Internal and External Supervisor the request must come from the Internal Supervisor following consultation with the External Supervisor. 4.5 Specific Registration All research students are registered in the first instance for an unspecified higher degree by research and thesis. On satisfactory completion of the first year of supervised research, in the case of full-time students, or the second year of supervised research, in the case of part-time students, based on a satisfactory qualifying report, each student may be recommended for registration either for the degree of MPhil or for the degree of PhD (See Regulation 9). 5. PROPOSED RESEARCH TOPIC - 9 -
applicants for registration must provide details of the proposed scheme of work, the Internal Supervisor must attest that the proposed scheme of work is capable of being pursued to the level and extent appropriate to a higher degree within the specified time-limit. where a research programme is concerned with particularly sensitive material, arrangements may be made to restrict the circulation of the resultant MPhil or PhD thesis through a 'Restriction of Access' (See Regulation 14.2). However, such a restriction will be of limited duration and should not prevent the publication of articles arising from the research work, the student and supervisor are advised to ensure at an early stage of planning the thesis that sensitive information will be excluded which does not clearly support the academic basis of the work, to avoid wherever possible the need to request a restriction of access to the finished thesis. 6. SUPERVISION AND PLACE OF WORK 6.1 Supervision every research student must be supervised by an Internal Supervisor who is a full-time member of the Academic Staff, no person may be the Internal Supervisor for more than six full-time research students at any time without the agreement of the appropriate Director of Research and School Research Committee. The names of such persons must be reported to the Quality & Standards Committee of Senate. 6.2 Internal Students an internal research student must pursue full-time or part-time research wholly within the University under the direct supervision of an Internal Supervisor, in certain circumstances an internal research student may be permitted to work away from the University (See Regulation 10). The informal involvement of a member of Senior Staff of the organisation in which the student is pursuing the research, should be in the role of External Contact (see Regulation 7.3). 6.3 Sandwich Students A sandwich research student must pursue full-time research partly within the University and partly within one or more external organisations under the supervision of an Internal Supervisor and one or more Associate Supervisors appointed by the appropriate School Research Committee from any University School(s) and/or the senior staff of the external organisation(s). (See Regulation 7.1 below) 6.4 External Students - 10 -
An external research student must pursue full-time or part-time research wholly outside the University under the supervision of an Internal Supervisor and an External Supervisor appointed by the appropriate School Research Committee from the senior staff of the external organisation in which the student is pursuing the research. Before the student is registered the Internal Supervisor must provide a clear indication of the way the proposed research relates to current research in the University. The progress of all external students must be monitored every six months by their Internal Supervisor. 7. ASSOCIATE SUPERVISORS, ADVISORS AND EXTERNAL CONTACTS 7.1 Associate Supervisors A research student's supervision may be supplemented by one or more Associate Supervisors. The appointment of an Associate Supervisor may be beneficial in the following instances: a member of an external organisation may be appointed as an Associate Supervisor to assist in the supervision of sandwich research student (See Regulation 6.3 above), where the student's research is interdisciplinary, a second member of the Academic Staff of the University may be appointed as Associate Supervisor, where the Internal Supervisor leaves the University and a replacement is appointed from among the academic Staff of the University, the original Internal Supervisor may be appointed as Associate Supervisor. 7.2 Advisors the appropriate School Research Committee may appoint an Advisor (nominated by the Director of Research) for an Internal Supervisor who has not previously supervised a research student to successful completion of an MPhil or PhD degree, the Advisor must be a member of the full-time Academic Staff and should have supervised and examined at least one successful candidate for MPhil or PhD. 7.3 External Contacts A member of an external organisation who wishes to be kept informed of the progress of an internal student who has been granted permission to work away from the University - 11 -
may be appointed in the role of External Contact. The External Contact is not involved in the supervision of the student (see Regulation 6.2 above). 8. COURSEWORK all students registered for an MPhil must undertake a minimum of 60 hours appropriate formal coursework, including conference sessions, between the date of registration and before the thesis is submitted. All students registered for a PhD must undertake a minimum of 90 hours' appropriate formal coursework, including conference sessions, between the date of registration and before the thesis is submitted, the choice of courses to be undertaken is subject to the advice of the Supervisor(s), but Staff Development courses may only account for a maximum of 30 hours, a list of the courses attended must be sent to the Examiners by the Registry before the oral examination, on the recommendation of the Internal Supervisor at the time of registration, a student who has been admitted to an appropriate Master's degree may be granted exemption by the appropriate School Research Committee from all or part of the coursework requirement. 9. ANNUAL REPORTS BY INTERNAL SUPERVISORS 9.1 All Annual Reports (e) at the end of each year of registration the Internal Supervisor must submit to the appropriate School Research Committee a report on the performance of each research student, including details of the formal coursework undertaken by the student during the year, annual reports must be completed by the end of each year following the student's registration, this applies equally to full-time and part-time students, in exceptional circumstances, which must be reported to the Senate, where the Internal Supervisor is unable to submit a completed report within the year, the annual report may be submitted by a later date agreed by the appropriate School Research Committee, each report must be countersigned by the Advisor, if appointed, and by any other of the student's Supervisors and must give brief details of meetings between the student and Supervisor(s) and confirmation that the working conditions for external or sandwich students are satisfactory, each research student must be sent a copy of his or her annual report after it has been submitted to the appropriate School Research Committee. - 12 -
9.2 Qualifying Reports before the end of the first year of registration, in the case of full-time students or before the end of the second year in the case of part-time students, each research student must write a report on the research work. The report should be a minimum of about 3,000 words or as specified by the appropriate School Research Committee. The student must then be examined on the content of the report at an oral examination conducted by the Internal Supervisor, the Advisor (if appointed) and one other member of the Academic Staff nominated by the Director of Research or their nominee, on the basis of the student's report and oral examination, the Internal Supervisor, Director's nominee (and Advisor) must submit a joint written and signed report which includes one of the following recommendations: (i) (ii) (iii) that the student's registration for the degree of PhD be approved, that the student's registration for the degree of MPhil be approved, that the student's registration should be terminated. the qualifying report on the student should also give a provisional title for the thesis, if a research student from the School of Languages and European Studies plans to write the thesis in one of the languages taught and examined in that School, application must be made by the Internal Supervisor, on behalf of the student, at the time of the qualifying report. The application must explain clearly the reason for the request and must demonstrate that there will be no undue restriction in the choice of External Examiner if the application is approved. 10. ABSENCE 10.1 Work away from the University internal research students may, if permission has previously been received from the appropriate School Research Committee, continue their research for an extended period at approved centres other than the University, or undertake appropriate field work. Where research is continued outside the University in this way, it must remain under the control and supervision of the Internal Supervisor, in no case may an internal research student be permitted to spend less than one year working in the University, research students in receipt of Research Councils' Co-operative or Collaborative Training Awards (CASE, CASS or CTA) may continue their research away from the University without prior permission providing that full reports on the research are submitted to the Internal Supervisor. 10.2 Vacation - 13 -
A research student may be allowed up to six weeks vacation a year by prior arrangement with their Supervisor, or a vacation allowance as specified by their sponsor. 10.3 Suspension of Research A research student may apply to the appropriate School Research Committee for leave of absence of no more than one year on the grounds of pregnancy, illness or other sufficient cause, during which the research work is suspended and no tuition fee is charged, although the student is required to enrol. This period does not count in the calculation of time limits for submission of the thesis (see Regulation 13 below), and is the same for full-time and part-time students. 11. TRANSFER BETWEEN MPhil AND PhD REGISTRATION Provision is made in exceptional cases for transfer between MPhil and PhD registration subject to the following conditions: (e) (f) (g) any request must be accompanied by a detailed assessment of the student's work by the Internal Supervisor and must be approved by the appropriate School Research Committee, where a student is seeking transfer from MPhil to PhD registration on academic grounds, the student must also present an extended report for examination by an independent assessor appointed by the Director of Research, a request to transfer from MPhil to PhD registration must be made before the research student enters the final maximum (MPhil) year as defined in Regulation 13.1 and 13.3, if a transfer from MPhil to PhD registration is approved, it may not subsequently be reversed, transfer from PhD to MPhil registration may be requested at any time before the thesis is submitted, but may not subsequently be reversed, if a research student is allowed to transfer from MPhil to PhD registration, at least one year must elapse from the date on which the transfer was approved before the PhD thesis is submitted, in the event of a transfer of registration, the student's original date of registration will be unaltered and the Regulations relevant to the new level of registration will apply. 12. TERMINATION OF REGISTRATION 12.1 Termination by the Student - 14 -
If a student wishes to withdraw from their research thereby terminating their registration, the student must notify their Internal Supervisor and the Secretary to the appropriate School Research Committee in writing, stating their main reasons for leaving. No refund of fees can be calculated until notification of withdrawal is received. 12.2 Termination by the Internal Supervisor if at any time the Internal Supervisor considers that a research student's progress is unsatisfactory and that the student is unlikely to complete the requirements of the degree, this must be reported in writing to the Secretary of the appropriate School Research Committee and the student, if the research student continues to make unsatisfactory progress in the three months following the initial notification in writing, the Internal Supervisor may recommend to the appropriate School Research Committee that the student's registration be terminated, before deciding that a student's registration should be terminated the appropriate School Research Committee must give the student the opportunity to make representations (aided by another member of the University, or by a member of staff acceptable to the Senate, if desired) concerning the circumstances which have affected the student's progress. (Representations normally take the form of a written submission to the Chair of the Committee). The student must be given a minimum of ten days notice if a full-time student or twenty days notice if a parttime student, of the appropriate School Research Committee meeting. Before considering the student s representations, attendance at the School Committee meeting must include at least two Academic Staff from at least one other School and should not include the Supervisor or Associate Supervisor, if the student is dissatisfied with the outcome of the School meeting she/he may refer the complaint to the Senior-Pro-Vice-Chancellor under the procedures detailed in the University stage of the Student Complaints Procedures. 13. TIME LIMITS FOR SUBMISSION OF THESES 13.1 Normal Time Limits All time-limits are calculated from the student's date of registration. Full-time students (internal, external or sandwich) MPhil PhD Earliest date for submission: after one year after two years Maximum time allowed: two years three years Part-time students (internal or external) MPhil PhD Earliest date for submission: after two years after four years Maximum time allowed: four years six years - 15 -
13.2 Extension of Time Limit a student who is unable to submit a thesis within the prescribed time may apply in advance for permission from the appropriate School Research Committee to submit late, if the student can provide good reason why the thesis cannot be submitted in time, the application from the student should be made at least one month before the thesis is due to be submitted. It must be accompanied by a timetable showing in detail how the thesis will be completed within the additional time requested and by an explanatory statement from the Internal Supervisor, the appropriate School Research Committee may grant a full-time student up to a years extension and a part-time student up to two years extension beyond the maximum time limits for full-time and part-time students given in Regulation 13.1 above, with a maximum of six months being granted to the student in the first instance, Students who are allowed additional time in which to complete their thesis must enrol for the period of the extension and may continue as 'writing-up' students beyond the writing-up time limit specified in Regulation 4.4, without the need to provide clear reasons for doing so. 13.3 Time Limits if Transfer Between Full-time and Part-time Registration Where a student transfers between full-time and part-time registration, the Internal Supervisor must propose the new time-limits and minima that should apply and submit this for approval to the relevant School Research Committee. As a guideline, one year of full-time registration is considered to be equivalent to two-years part-time registration. 13.4 Exceeding the Maximum Time Limits Where the maximum time limits specified in Regulations 13.1 are exceeded without the granting of an extension of time, the student will be required to pay the appropriate writing-up fee in full for each of the subsequent part or full years. This will continue until the student is awarded a waiver of regulations and can submit or the student informs the University of their intention to leave before submitting (see Regulation 12.1) or the student is suspended for non-payment of fees. If suspended, the suspension will have to be lifted before the student can be awarded a waiver of regulations. 14. SUBMISSION OF THESIS BEFORE EXAMINATION 14.1 Required Documentation Within the prescribed time-limits, the research student registered for the degree of MPhil or PhD shall present to the Registry, School or Programme Office as advised: - 16 -
three unbound copies of an MPhil or PhD thesis produced in accordance with the Regulations for the Presentation of MPhil and PhD Theses, two copies of the thesis summary in the format specified by their School, a signed statement by the student, countersigned by the Internal Supervisor and, where necessary, External Supervisor, clearly acknowledging those parts of the work described in the thesis which were done in collaboration (if any) and the extent of the student's contribution to those parts of the work, and confirming that the work has not been submitted for any other academic award, three copies of a typed list of formal coursework undertaken (where appropriate) in the format required by their School. 14.2 Restriction of Access to Thesis access to the copy of the thesis placed in the University Library may be restricted for up to two years from the date of the award of the degree at the request of the Internal Supervisor and student via the appropriate School Research Committee to the Senate. The request must state clearly the reasons for requiring restricted access to the thesis, restriction of access for a third year may only be granted in special circumstances and will not be granted for more than three years from the date of the award of the degree, it is the responsibility of the Director of Research to safeguard any thesis lodged with the Director which is subject to a restriction of access. 14.3 Time between Submission and Oral Examination The oral examination shall normally be within three months of the student submitting the thesis. 15. APPOINTMENT OF EXAMINERS All Examiners' appointments must be approved by the Senate or by the Vice-Chancellor or Senior Pro-Vice-Chancellor on behalf of the Senate. 15.1 Normal Appointment of Examiners Upon submission of the thesis the Examiners should be nominated by the Internal Supervisor and approved by the Research Committee in accordance with the following requirements: - 17 -
(e) (f) (g) one Internal Examiner and one External Examiner must be appointed for each research student, the Internal Examiner must be a member of the full-time Academic Staff of the University, the Internal Supervisor shall not normally be appointed as the Internal Examiner, if an Advisor was appointed when the student was registered with the Internal Supervisor, the Advisor may be appointed as the Internal Examiner, a member of the Academic Staff who leaves the University may not be appointed as an External Examiner within five years of leaving, an External Supervisor may not be appointed as an Examiner, an External Examiner should normally have previous experience of PhD supervision or PhD examination. 15.2 Early Appointment The Internal Supervisor may request on behalf of the student that the Examiners are appointed before the thesis has been submitted. The request must be accompanied by the thesis summary and a statement by the student of the date by which the thesis will be submitted. 15.3 Referee Examiner If the Examiners are unable to agree upon a recommendation an External Referee Examiner will be appointed by the Senate to make an independent report upon the thesis. (See Regulations 18.3 and 22.3). 15.4 Examiners for Academic Staff Any student who at the time of submitting the thesis has been appointed as a member of the Academic Staff of the University, or who has only recently ceased to be a member of the Academic Staff of the University, must be examined by two External Examiners, in accordance with the Special Regulations for Academic Staff Candidates. 15.5 Changing an External Examiner The External Examiner may be changed up to the date of the viva following a submission by the Director of Research for approval by the relevant School Research Committee and the Senate, or by the Vice-Chancellor or Senior Pro-Vice-Chancellor on behalf of the Senate. The appointment of any replacement Examiner must be in accordance with Regulation 15. 16. ATTENDANCE AT THE ORAL EXAMINATION The Internal Supervisor is responsible for arranging the oral examination and for nominating the Examiners, - 18 -
the following persons must attend the oral examination: the Research student the Internal Examiner the External Examiner. The Internal Supervisor has the right to attend the oral examination and participate in discussions but may be requested to leave before any decision is taken, and should not sign any of the Examiners' reports or recommendations (see also Regulation 15.1 above), the Internal Supervisor may nominate any of the following persons to be present at the oral examination: the Advisor, if not appointed as Internal Examiner; the External Supervisor of an external student; a former Internal Supervisor who has recently left the University; an Associate Supervisor (if appointed), no other person may be present at the oral examination without obtaining permission in advance from the Senate. 17. CONDUCT OF THE EXAMINATION Following their formal appointment each Examiner must be sent a copy of the thesis by the Academic Registrar. Before the oral examination each Examiner must read the thesis and submit an independent written report giving reasons for judging the thesis satisfactory or unsatisfactory, an oral examination must then be held at which the Examiners test the student's knowledge of the research upon which the thesis is based. The Examiners must submit a joint written report on the student's performance at the oral examination, if the examiners are satisfied with the thesis but not with the performance of the student at the oral examination, they may set the student a written examination and make their final recommendation on the basis of the student's performance in the written examination, all Examiners' reports must be submitted to the Senate or the Vice-Chancellor or Senior Pro-Vice-Chancellor on behalf of the Senate, via the Academic Registrar. 18. EXAMINERS' RECOMMENDATIONS All Examiners' recommendations must be submitted to the Senate or the Vice- Chancellor or Senior Pro-Vice-Chancellor on behalf of the Senate, via the Registry, - 19 -
each research student has the right to see the form on which the Examiners state their joint recommendation following the student s oral examination. Research students do not have the right to see the Examiners individual reports on their thesis or oral examination, a student may obtain a copy of the Examiners joint recommendation relating to his or her oral examination on application to the Registry. Alternatively, the Internal Examiner acting on behalf of the Academic Registrar, may provide the research student with a copy of the Examiners joint recommendation (only) at the conclusion of the oral examination. 18.1 Satisfactory If the Examiners are satisfied with the thesis and with the student's performance at the oral examination (or written examination, if Regulation 17 above is used), they must jointly recommend the award of the degree, the Examiners may not recommend the award of PhD to a student submitting a thesis for the degree of MPhil or an MPhil or PhD to a student submitting a thesis for the Master of Science by Research. 18.2 Unsatisfactory If the Examiners are not satisfied with the thesis (irrespective of the student's performance at the oral examination), they must make one of the following joint recommendations and inform the student accordingly: PhD Submission (i) (ii) (iii) (iv) (v) (vi) (vii) That the degree of PhD be awarded on completion of minor revisions, that the student be permitted to submit a revised thesis for the degree of PhD on the basis of existing work, that the student be permitted to submit a revised thesis for the degree of PhD on the basis of additional work, that the degree of MPhil be awarded, that the degree of MPhil be awarded on completion of minor revisions, that the student be permitted to submit a revised thesis for the degree of MPhil, that no degree be awarded. MPhil Submission (i) That the degree of MPhil be awarded on completion of minor revisions, - 20 -
(ii) (iii) (iv) that the student be permitted to submit a revised thesis for the degree of MPhil on the basis of existing work, that the student be permitted to submit a revised thesis for the degree of MPhil on the basis of additional work, that no degree be awarded. 18.3 No Agreed Recommendation If the Examiners are unable to agree upon one of the joint recommendations in Regulation 18.1 or 18.2 above, they must submit individual reports to the Senate through the Academic Registrar, making clear the reasons for their disagreement. (See Regulation 15.3). 19. COMPLETION OF MINOR REVISIONS Minor revisions to a thesis must be completed by the student in accordance with the wishes of the Examiners within three months of the date of the oral examination, the Examiners must confirm that the minor revisions have been completed to their satisfaction before their recommendation is forwarded to the Senate, the External Examiner may authorise the Internal Examiner to approve the student's completion of minor revisions. 20. MAJOR REVISION OF THE THESIS Major or extensive defects in the content or presentation of the research entailing resubmission of the thesis must be rectified within one year of the date of the oral examination if to resubmit on the basis of existing work, or within two years of the date of the oral examination if to resubmit on the basis of additional work. These time limits are applicable to both full-time and part-time research students, the Examiners must provide the student with details of the required amendments, in writing, when making their recommendation to the Senate. 21. EXAMINATION OF A RESUBMITTED THESIS The examination procedure must be as laid down in Regulations 16 and 17, except where modified by the following provisions: the resubmitted thesis must be examined by the previously appointed Examiners unless the Senate is satisfied that there is a sound case for the replacement of any Examiner(s), the appointment of any replacement Examiner(s) must be in accordance with Regulation 15, - 21 -
the Examiners may require the student to attend an oral examination on the resubmitted thesis. 22. EXAMINERS' RECOMMENDATIONS ON A RESUBMITTED THESIS All Examiners' recommendations must be submitted to the Senate or the Vice- Chancellor or the Senior Pro-Vice-Chancellor on behalf of the Senate, via the Registry. 22.1 Satisfactory If the Examiners are satisfied with the revised thesis (and with the student's performance at the oral examination, if required, or written examination if Regulation 17 is used), they shall jointly recommend the award of the degree, the Examiners may not recommend the award of PhD to a student submitting a revised thesis for the degree of MPhil. 22.2 Unsatisfactory If the Examiners are not satisfied with the thesis (irrespective of the student's performance at the oral examination, if required), they shall make one of the following recommendations: Resubmission for PhD (i) (ii) (iii) (iv) That the degree of PhD be awarded on completion of minor revisions, that the degree of MPhil be awarded, that the degree of MPhil be awarded on completion of minor revisions, that no degree be awarded. Resubmission for MPhil (i) That the degree of MPhil be awarded on completion of minor revisions, (ii) that no degree be awarded. 22.3 No Agreed Recommendation If the Examiners are unable to agree upon one of the joint recommendations in Regulation 22.1 or 22.2 above, they must submit individual reports to the Senate through the Registry, making clear the reasons for their disagreement. (See Regulation 15.3). 23. SUBMISSION OF THESIS FOLLOWING EXAMINATION 23.1 Required Documentation - 22 -
After the oral examination, the student must submit to the Registry or School or Programme office two copies of the thesis, bound in the manner prescribed in Regulation 4.2 of the Special Regulations for the Presentation of MPhil and PhD Theses and, for the degree of PhD but not MPhil, one unbound copy of the thesis for the British Library, each of which must incorporate any revisions required by the Examiners, the copies of the thesis must be accompanied by a signed statement from the Internal Examiner certifying that they are identical versions of the work assessed by the Examiners, except where revisions were made at their request. 23.2 Distribution of Theses Successful Candidates (i) (ii) One bound copy of each thesis judged worthy of the award of a higher degree will be placed in the University Library, the second copy will be retained by the Director of Research in the School concerned, the additional unbound copy of each approved PhD thesis will be submitted to the British Library Document Supply Centre, together with a completed Doctoral Thesis Agreement Form. Unsuccessful Candidates At least two copies of the thesis will be returned to the student. 24. AWARD OF DEGREE The Senate, upon receipt of reports and satisfactory recommendations from all the Examiners, together with confirmation that all the requirements listed in Regulation 1.3 have been met by the student, shall approve the award of the degree. 25. WAIVERS OF REGULATIONS Where in the opinion of the appropriate School Committee exceptional circumstances have adversely affected a research student which could not reasonably have been foreseen, the Quality and Standards Committee of the Senate may waive any relevant part of these Regulations on such conditions as it may deem fit. Applications for waivers of Regulations affecting the examination procedure should be submitted to the School Administrator on behalf of the student by the Examiners, if appointed, otherwise the Internal Supervisor, to the Quality and Standards Committee of the Senate, applications for waivers of Regulations relating to all other matters should be submitted to the School Administrator on behalf of the student by the Internal Supervisor, to the Quality and Standards Committee of the Senate, applications for a waiver of Regulation 13 to allow a student additional time in which to submit a thesis (over and above the extra year allowed under - 23 -
Regulation 13.2 or the extra two years allowed under Regulation 13.4) should be made by the Internal Supervisor and student to the appropriate School Research Committee at least one month before the due date for the submission of the thesis, the request must also be accompanied by a clear explanation as to why the original timetable was not adhered to, and a new timetable showing how the thesis will be completed within the additional time requested. 26. COMPLAINTS BY RESEARCH STUDENTS (e) (f) (g) (h) (i) Research students who are dissatisfied with their conditions of work or the quality of their supervision should wherever possible discuss the difficulties with their Internal Supervisor, if a research student prefers not to discuss the complaint with the Internal Supervisor, the student should approach the Director of Research or their nominee, if the Internal Supervisor or Director of Research does not resolve the student's difficulties, the student should submit written details of the complaint to the relevant School Research Committee, through the School Administrator, the School Committee must then invite comments from the Supervisor(s) and Director of Research and may invite the student to submit additional information, after discussion, at which any members directly connected with the complaint (including the Internal Supervisor) should not be present and at least two Academic Staff from at least one other School should be present, the School Committee must make a clear recommendation to the relevant School Board, the research student and staff concerned with the complaint must be informed of the School Committee's recommendation before the School Board meeting and may respond in writing to the Chairman through the School Administrator. The student and staff concerned with the complaint must be given a minimum of ten days notice if a full-time student or twenty days notice if a part-time student, of the School Board meeting, the School Board, on consideration of the School Committee's recommendation and any responses from the student or staff concerned, must either uphold the recommendation or refer the matter to the School Committee for further consideration, it is the responsibility of the research student to advise the Examiners, in writing before the final oral examination, of any factors which may affect the student's performance in any way, if the student is dissatisfied with the outcome of the School meeting she/he may refer the complaint to the Senior-Pro-Vice Chancellor under the procedures detailed in the University stage of the Student Complaints Procedures, copies of which are available from the University Registry, - 24 -
(j) no complaints will be considered once the thesis has been submitted, but see Regulation 27 below concerning appeals. 27. APPEALS BY RESEARCH STUDENTS A student wishing to appeal against a decision of the Examiners may appeal on the grounds set out in the University Academic Appeals Procedures, copies of which are available from the University Registry. There is no right of appeal against the academic judgement of examiners. 28. PLAGIARISM AND FRAUD The University defines plagiarism as a form of cheating in which a student uses, without acknowledgement, the intellectual work of other people and presents it as his or her own. Collusion is defined as being where two students have worked together to produce a piece of work which is then submitted for assessment as the work of only one of the students. Cases of alleged plagiarism and collusion are dealt with under the University's Code of Practice for Dealing with Cases of Alleged Plagiarism. Any other instance of alleged fraud, such as the falsification of research results, is considered under the University Regulations for the Discipline of Students, copies of which are available from the University Registry. RPS/ SJD September1999-25 -