Academic and Administrative Framework

Agreement for Dual PhD Degree between XXXX and the University of Liverpool Academic and Administrative Framework 1. Rationale for the collaborative partnership a) This agreement is designed to establish long term research relationships between the University of Liverpool (UoL) and the XXXX XXXX as strategic partners in the global world of knowledge generation and exchange. The University of Liverpool is a member of the Russell Group of top research Universities in the UK and XXXX in XXXX is the top research University in XXXX in science and engineering. b) This agreement arises after several years of increasingly close interaction between the institutions and follows visits to Liverpool in XXXX, and to XXXX in XXXX, and the signing of a Memorandum of Understanding in XXXX. c) The academic leads overseeing the implementation of this agreement will be XXXX at the UoL and XXXX at the XXXX. d) Collaboration will start in the fields of engineering mechanics and mathematics, before extending it to other areas. 2. Facilities and resources a) Both institutions are well equipped with laboratories and equipment to undertake the planned research, supported by libraries and electronic access to journals, etc. The exact requirements for each PhD studentship will be provided in each project description. This will also describe the location of the resources required and an agreement by each institution of their use. b) Electronic library resources are available at both institutions c) The planned number of students under the dual degree structure will start at approximately XX per year but may rise to XX per year, contingent on funding and appropriate projects. 3. Academic regulations a) Research degrees at the two institutions are regulated by the University of Liverpool s Ordinance 90 (Annexe 1) and XXXX s Regulation governing the award of Doctor of Philosophy (Annexe 2). In order to develop this dual award, the partners acknowledge and agree to accept specific differences between the two sets of institutional regulations when making the dual PhD award. The key differences between the two sets of institutional regulations are as follows: 1

- While the UoL requires that a thesis be submitted for PhD examination within three years of first registration for the degree and by not later than the end of the fourth year of registration, the time limits at XXXX are 3-4 years for candidates with a Master s degree, and 4-6 years for candidates without such a degree. For non-chinese XXXX international students, the time limits at XXXX are 3-6 years. - Both the UoL and XXXX require PhD candidates to attend and complete a number of taught modules, but the content, timing and weighting of these modules differ between the two institutions. The UoL requires the completion of 6 weeks of training (most of which is on generic skills) spread over all years of study, while the XXXX has a more substantial module provision (most of which is technical) that is expected to be completed in the first year of study and before commencement of the PhD research. - The two institutions have different regulations governing the examination of students following an initial period of study and prior to allowing them to continue their PhD work. The UoL requires an independent assessment of student research following a minimum of one year of study. On the other hand, the XXXX examination is conducted following the completion of the taught modules and prior to commencement of research work, and concentrates on the student s knowledge of the field of study and ability to undertake independent research. - The XXXX requires an initial review of completed PhD dissertations to be conducted by five or more academic staff members. The successful outcome of this initial review is considered necessary before allowing candidates to proceed to oral examination. There is no equivalent review at the UoL, where students can submit their thesis for oral examination once deemed ready by themselves and their supervisors. - Differences exist between the regulations governing the size and composition of the PhD examination panel. At the UoL, the panel comprises one external and one internal examiner, who cannot be one of the supervisors. At the XXXX, the panel comprises up to 7 members including 4 supervisors and 3 external examiners. - The XXXX regulations allow only a pass/fail outcome of the oral examination, while the UoL allows several possible outcomes including pass, pass with minor or major revision, award of a lower (MPhil) degree and fail. - The XXXX requires PhD candidates to publish at least two journal papers on their research before submitting their thesis for oral examination. While the UoL expects students to submit work to high ranking scientific journals during their study, there is no formal requirement to delay thesis submission until publication or acceptance of papers has been achieved. b) Under the dual award, the degree of PhD will be awarded by both institutions. c) The operation of the dual PhD programme will be overseen by a Programme Management Team. The Terms of Reference of the Programme Management Team are cited under Section 1 of the Legal Framework. 4. Admission to the dual research degree 2

i. Students will apply through the normal application procedures of the two institutions. The applications will be identified as for the dual degree, thus ensuring that there is a coordinated application process (to avoid problems such as being accepted by one institution and rejected by the other). Both institutions will be provided with the appropriate data gathered during the process in order that the student can register at both institutions. ii. Applicants must satisfy the programme entry requirements as defined in Clauses 4c and 4d. iii. The UoL admissions criteria are: - A graduate of the University of Liverpool or any other approved University or Institution, or a candidate who holds a qualification deemed by the UoL Senate to be equivalent to an Honours Degree of the UoL. iv. The XXXX admissions criteria are: - A graduate of XXXX or other equivalent institute should pass the entrance examination for PhD candidate. v. The offer letter, drafted by the institution at which the student will start, will outline the expected study pattern of the candidate including the expected location(s) of study. Applicant records at both institutions should be established and maintained so both institutions are fully informed of decisions taken. Students will spend a minimum of one year at the University of Liverpool, the timing of which will be outlined in the offer letter. This will ensure that registered students are not liable to pay tuition fees during the period when they are not studying at the University of Liverpool s campus and will ensure that the appropriate documentation is produced by the UoL to enable the student to apply for a visa to enter the UK to study, where appropriate. The offer letter will include details of the fees payable and any additional Research Support Costs (also known as Bench Fees) payable to either or both institution(s). vi. Students must have an adequate standard of both spoken and written English language by the point at which they register with the UoL (this is the point when their year 1 assessed courses are completed and the research project begins). At this point the language assessment will be made by one of the following mechanisms:- -by achieving a minimum IELTS score of 6.5 (with no score lower than IELTS 5.5 in all bands) or a minimum TOEFL IBT score of 88 - via other mechanisms deemed acceptable to both institutions 5. Student registration a) Students studying for a dual PhD will normally be registered at both institutions and will be entitled to the full range of student services offered by both institutions. Students will be subject to all relevant statutes, ordinances and regulations at both institutions and will confirm their agreement to these at initial registration at both institutions. All exceptions to the statutes, ordinances and regulations of either or both institutions are stated in Section 3 above. a) The pattern of study will include a minimum of twelve months full-time at each institution. For each project, this will be defined in the offer letter, will be confirmed at initial registration and re-confirmed on an annual basis via the Annual Progress Report process. Where this pattern of study needs to change as the project 3

develops, any change to the pattern of study must be notified to the Programme Management Team. Students at either institution will not be considered fully registered until the appropriate fees payments have been made. 6. Induction arrangements Information to students a) Students should be provided with all information from both institutions, either electronically or otherwise, which constitutes the student contract. This includes access to information about relevant Ordinance and regulations pertaining to this agreement and University policies and procedures related to PGR students, and local information about each institution s student services. Induction roles and responsibilities b) It will be the responsibility of the institution at which the student begins their research programme [state which institution this will be here] to provide adequate initial induction to the student. c) The Liverpool supervisor will make the student aware of the Liverpool induction requirements regarding issues such as Personal Development Record, electronic library, annual programme monitoring, etc., at the start of their study. When the student arrives in Liverpool they will undergo the usual induction programme. 7. Pattern of study Location of study and schedule of research activity a) The pattern of study will be defined specifically for each studentship, subject to a minimum of twelve months full-time at UoL and will be made clear in the offer letter. However, it is appreciated that adjustments may need to be made to this pattern of study as the project develops. Any changes to the initial pattern of study must be agreed by the Programme Management Team and formally reported to each institution. Immigration issues b) For study at the University of Liverpool for periods of more than 6 months, students will require a student visa under Tier 4 of the UK Border Agency s Points-based Immigration System. The University of Liverpool will be the immigration sponsor of all students under this agreement when they study at Liverpool and will be responsible for issuing a Confirmation of Acceptance for Studies (CAS) for the period stipulated in the offer letter. For this, the applicant record needs to be in the student records system in sufficient time for Liverpool to issue the CAS. Any changes to the initial pattern of study must be agreed by the student s supervisors and the Departmental/School Director of Postgraduate Research at Liverpool and their equivalent at XXXX and formally reported to each institution. c) Students studying under these arrangements should be located at Liverpool, and are required to study on a full-time basis (or in accordance with the terms of their visa). 4

d) Any change to the student s registration, including suspension or extension of study is likely to result in the withdrawal of the University s sponsorship of the student s visa. This will be reported to the UK Border Agency and the student will be required to leave the United Kingdom within 14 days. Students in this situation must seek immigration advice available from the University of Liverpool s International Support team (ist@liv.ac.uk). e) Students entering the UK for less than 6 months can apply for a Student Visitor Visa. Immigration advice is available from the University of Liverpool s International Support team (ist@liv.ac.uk) 8. Financial arrangements a) For the periods spent at the UoL campus, XXXX will cover the standard overseas postgraduate research tuition fees. XXXX will cover any research support fees (bench fees) raised. All living and travel costs will be met by XXXX. Students will be entitled to XXXX under the terms of any Scholarship or Bursary awarded to them [insert details here]. b) For the periods spent on XXXX campus, XXXX will cover the standard overseas postgraduate research tuition fees. XXXX will cover any research support fees (bench fees) raised. All living and travel costs will be met by XXXX. Students will be entitled to XXXX under the terms of any Scholarship or Bursary awarded to them [insert details here]. 9. Supervision arrangements Appointment of supervisors a) Every student will be assigned at least two supervisors, at least one supervisor employed by the University of Liverpool and at least one supervisor employed by XXXX. The supervisors must be research active and hold a PhD or equivalent degree that is acceptable to both parties. Details of the primary supervisor will be notified to the Programme Management Team. Supervisors from XXXX will be awarded the status of University of Liverpool Honorary Supervisors. It is the responsibility of the academic department based at the University of Liverpool to recommend any appointment for approval by the Senate prior to the HR department issuing a formal letter of appointment. b) An equivalent process at the XXXX for approving UoL staff as supervisors will be put in place. Role of each supervisor within the team c) This will be detailed for each PhD studentship proposal. As a minimum, supervisors at both institutions will review and sign off the PDR process (see section 10) and discuss with the student, progress issues and future plans, by either email or Skype, at least once every month. d) Supervisors at both institutions will undertake such collaboration as necessary for the benefit of the student. e) It is anticipated XXXX supervisors will visit the University of Liverpool as required by the agreed projects. University of Liverpool supervisors should also visit XXXX. 5

There should be a minimum of one visit per supervisor to the other institution during the duration of a PhD and the students will be informed of these arrangements. 10. Progress monitoring 6 Personal Development Review (PDR) a) Students and supervisors are required to meet regularly to discuss progress, to identify problems and to set targets. The University of Liverpool requires students to undertake PDR meetings at least once per month and these should be recorded in the University of Liverpool PDR system. Agreed action points and issues will be communicated to the XXXX supervisor by email or via video conferencing. b) While the student is based at the XXXX, monthly meetings should take place with the appointed supervisor. Issues should be discussed by both supervisors by email or via video conferencing. Outcomes should be recorded in the University of Liverpool PDR system by the Liverpool supervisor. Annual Progress Monitoring (APR) c) All students and their supervisors are required to complete the APR process on an annual basis in accordance with the UoL s timescales. Failure to do this may result in the termination of a student s studies at the University of Liverpool. d) The completion of these processes will be monitored by the University of Liverpool s Postgraduate Research Student Team. Any escalation of issues relating to this process will be through the Programme Management Team. 11. Research skills training a) All students will be required to undertake an approved programme of additional research skills training during the period of the registration. This training could occur at either institution, but will be defined for each student. b) Exemptions can be claimed against proven prior experience. c) At the University of Liverpool, skills training will be provided through the Postgraduate Research Development Team and within the host School/Institute, while at XXXX this will be delivered through a defined process that both institutions agree to and that meets the minimum requirements set out by the University of Liverpool. The Programme Management Team will be advised on research skills training issues by the supervisors. 12. Approval of special arrangements for students Suspension of studies a) Any request from a student to suspend their studies temporarily should be considered and approved through the normal University of Liverpool processes and their equivalent at XXXXXX. The Programme Management Team should be informed of all approved requests to ensure that decisions are taken consistently across the programme and for all research students in both institutions. b) Students should use the University of Liverpool online form to request a suspension of studies (or equivalent if agreed to be appropriate).

c) Retrospective suspensions are not permitted under any circumstances. Suspensions of study on medical grounds should be supported by appropriate medical evidence. Suspensions of study are not normally granted of periods of longer than 12 months. 7 Extension to periods of registration d) The University of Liverpool Ordinance 90 (in common with most UK Universities), requires the thesis to be submitted for examination no later than 4 years after initial registration. Extensions to this time period can only be permitted under exceptional circumstances such as serious illness. e) Any request from a student to extend their studies should be considered in the first instance by the supervisory team based at both institutions, and recommendations forwarded to the Programme Management Team for approval after consulting with the relevant Faculty Director of Postgraduate Research at the University of Liverpool and their equivalent at XXXX. This is to ensure that decisions are taken consistently across the programme and for all research students in both institutions. f) Requests for extensions to periods of registration should be made by students using the University of Liverpool online form (or equivalent if agreed to be appropriate). g) Requests should be made no later than thirty days before the student s last permitted submission date. h) If students cease to engage in their studies, at either partner institution, then the University of Liverpool s withdrawal procedures will be invoked. Immigration and Visa issues i) Any change to the student s registration, including suspension or extension of study is likely to result in the withdrawal of the University s sponsorship of the student s visa. This will be reported to the UK Border Agency and the student will be required to leave the United Kingdom within 14 days. Students in this situation must seek immigration advice available from the University of Liverpool s International Support team (ist@liv.ac.uk). 13. Thesis examination arrangements Thesis submission a) The UoL and XXXX procedures for thesis preparation and submission should normally be followed. b) A core expectation of dual award PhD students is that their research will published in international journals in a timely manner. At UoL students and their supervisors make their best efforts to submit papers to high ranking journals, in line with the University s Research Strategy, before submission of the PhD thesis, but the UoL regulations do not formally require this. XXXX regulations require candidates to have published [insert details here]. c) Students may submit their thesis and have their thesis examined before publication of a paper but award of the PhD is dependent on a paper being published or accepted for publication before the degree is awarded. However, if this requirement for publication is not met, then the University of Liverpool may consider the thesis for

the award of a University of Liverpool single award. The student would be informed of this possibility by the Programme Management Team. d) The language of the thesis must be English. e) The length of the thesis must not exceed 100,000 words. f) When ready, copies of the thesis are submitted to the Institution at which the viva is to take place along with a statement on paper submission, acceptance and publication. Nomination of examiners g) All nominations and appointment of examiners should be approved by the heads of the academic Department/School/Institute in both partner institutions, using UoL appointment of examiners procedures and/or equivalent processes at XXXX. h) Two internal examiners will be appointed, one from the University of Liverpool and one from XXXX following agreement by both institutions. i) One external examiner will be appointed following agreement by both institutions and in accordance with the UoL Code of Practice on Research Degree Examinations and External Examiners. j) No examiner can be a supervisor of the student. k) Any travel costs incurred by internal examiners will be met by the respective academic department. The cost of fees and expenses of the external examiner will be met by the institution who hosts the viva examination. l) The appeals procedure of either institution will be used in the event of an appeal. The examination m) The viva voce examination can be held in either partner institution and shall follow the procedures set out in UoL Ordinance 90 and equivalent procedures at XXXX. n) The language of the viva examination must be English. o) Supervisors may not be present at the viva examination. p) One internal examiner will act as chair of the examination and will be responsible for ensuring that the examination is conducted in accordance with regulations set out in UoL Ordinance 90 and any other UoL regulation or policy (eg Plagiarism Policy). q) Each Examiner shall prepare an independent written report before the oral examination using the UoL initial Examiners Report template or equivalent at XXXX. r) After the oral examination, a joint report should be prepared and signed by both examiners using the UoL initial Examiners Report template or equivalent at XXXX. The joint report will make one of the following agreed recommendations in accordance with those permitted under UoL Ordinance 90; 8

(i) that the degree of PhD be conferred (ii) that the degree of PhD be conferred subject to the candidate making minor modifications to the thesis, which do not alter the substance of the thesis in any significant or fundamental manner, to the satisfaction of one or more of the Examiners, as may be agreed between them. (iii) that the candidate be permitted to make a subsequent application for the degree of PhD on one occasion only, provided that the application is made not more than one calendar year from the date of the oral examination. A thesis may only be re-presented as the result of a recommendation made in accordance with this provision, and shall be revised having due regard to the Examiners observations. A second oral examination shall normally be held, but this may be waived at the discretion of the Examiners; (iv) that the degree of Master of Philosophy (Annexe 1) be conferred upon the candidate, subject to, if required, minor modifications being made to the thesis to the satisfaction of one or more of the examiners, as may be agreed between them; (v) that the candidate be permitted to make a subsequent application for the degree of MPhil on one occasion only, provided that the application is made not more than one calendar year from the date of the oral examination. A thesis may only be re-presented as the result of a recommendation made in accordance with this provision, and shall be revised having due regard to the Examiners observations. A second oral examination shall normally be held, but this may be waived at the discretion of the Examiners; (vi) that the candidate be deemed not to have attained the standard required for the degree of PhD or MPhil and that no further opportunity be allowed for examination. 14. Graduation Degree ceremonies a) A dual PhD award will be conferred at the degree awarding ceremonies at both institutions. Students will be entitled to attend both ceremonies. Degree certificates and transcripts b) The dual PhD award will be certified by two separate certificates from each partner institution. c) Degree certificates for dual awards will be produced by each partner institution. The student will be presented with their degree certificate at the ceremony at which they attend. If they do not attend in person at either ceremony, it is the responsibility of each institution to post their document to the student s home address. 15. Intellectual Property Rights a) The terms of reference for intellectual property rights have been defined in the MoU between the University of Liverpool and XXXX dated [insert date MoU was signed here and attach copy of MOU as a separate appendix to this agreement] 9

16. Copyright a) Candidates for the dual PhD are subject to UK copyright law and those laws pertaining to XXXX [insert territory]. Students attention should be drawn to the University of Liverpool s statement relating to copyright in the PGR Student Handbook and this section should detail any additional constraint or variation to this statement which will be in place as part of the collaboration. 17. Complaints and Academic Appeals a) Students will be eligible to appeal against decisions made by the Examiners in accordance with the University of Liverpool s Regulations for Research Degree Appeals. b) Students should use the student complaints procedures available at the institution responsible for the service about which they wish to complain. In the case of any doubt, the University of Liverpool s Student Complaints Procedure should be used. Where the University of Liverpool s Complaints Procedure has been used and the student has exhausted these procedures, a Completion of Procedures letter will be issued to the student. Where the complaints procedures of XXXX have been used, the procedures will be completed in accordance with these procedures. 18. Discipline and Academic misconduct a) Candidates will be subject to the rules regulating the conduct of students in both institutions. Where there is a disciplinary matter which may affect both partner institutions, a decision about the procedures to be used will be made according to the situation after consultation by both institutions and agreed by the Programme Management Team. Normally disciplinary issues will be handled under the procedures of the institution at which the student is resident at the time. b) The UoL policy on plagiarism and fabrication of data will be applied in all cases where evidence of such academic misconduct is discovered by either institution. 10

Legal Framework 1. Governance Structure a) This collaborative partnership will establish a Programme Management Team (PMT), drawn from staff at all partner institutions that will direct and manage the partnership. The PMT will normally be chaired by a member of staff from the University of Liverpool for at least the first cycle and then the Chair would rotate. Each institution would nominate an academic lead contact for the dual programme. 2. Duration of agreement and quality assurance and monitoring a) This agreement will run for an initial period of five years initially supported by an annual review that will be reported to each Institution. The agreement will start on [insert date here]. b) In the fifth year of operation, there will be a review of the agreement with a view to extending it for a further five years. c) Should the agreement be terminated prior to completion of studies by any student, both institutions guarantee to continue to support that student until completion of the thesis and examination. d) The Annual Review process will monitor the following areas related to the overall agreement and will be undertaken by the Programme Management Team. This will be led by an Academic Lead from each University on behalf of all faculties. Both institutions will identify an appropriate reporting route for this annual review. Key areas for review will include: o o o o o o o o o Research Study Skills Review of resources and facilities including IT Review of the assignment of supervisors Review of forecast student numbers Review of students annual progress using information provided in the APR Review of periods of study in both institutions and immigration issues Review of the admissions process Review of English language training and standards Review of the examination process 3. Use of the UoL name and logo a) The UoL s coat of arms, logo and name are valuable intellectual property rights of the University. XXXX is hereby granted a royalty-free non exclusive licence to use such rights for the purposes of the collaborative partnership only provided that the style of use is consistent with the conditions laid down from time to time by the UoL to protect its reputation, property and interest. 4. Variation agreement and termination provision a) Any change to the original signed agreements contained in the completed template will only be valid if the change is made in writing and approved by both institutions. Any change should be appended to this section and dated accordingly. 11

5. Termination of agreement a) Either institution may terminate the agreement for convenience by providing a written notice period of no less than twelve months. In such circumstances, both institutions will co-operate in order for students to complete a research programme. b) Either institution may terminate the agreement with immediate effect by giving notice to their partner if that institution is in breach of any provision within the agreement or if that institution becomes insolvent or goes into receivership. c) Should the partnership agreement be terminated under any circumstances prior to any student completing their programme of studies, arrangements should be in place for students to be able to continue to study towards the dual award. In any case, both institutions should work together to protect the interests of students registered on the dual degree. 6. Dispute resolution a) Should a dispute arise between XXXX and the University of Liverpool in relation to the partnership agreement, either institution should make a request to the other, in writing, to hold a meeting in an attempt to resolve the matter amicably. If the meeting does not resolve the dispute the Programme Management Team should apply to the Centre for Dispute Resolution in London (CEDR) to appoint a mediator. CEDR processes will then be followed. b) This agreement will be subject to the laws of England and the exclusive jurisdiction of the English Courts. 12

Signed on behalf of the XXXX (Name) (Designation) (Date) Signed on behalf of the University of Liverpool Professor Michael Hoey (Name) Pro-Vice-Chancellor for Internationalisation (Designation) (Date) 13

Annex 1: ORDINANCE 90 DEGREE OF DOCTOR IN PHILOSOPHY The University of Liverpool, for the encouragement of graduate research study, has established a Doctorate in Philosophy (PhD) in the Faculties of Humanities and Social Science, Science and Engineering and Health and Life Sciences. The Doctorate in Philosophy can be undertaken in collaboration with an approved institutional partner, leading to a joint or dual award, subject to the approval of a formal agreement between the two institutions by the Senate. All institutions with whom the University of Liverpool forms such collaborative partnerships shall be approved as a recognised Affiliated Institution. In the following Ordinance and Regulations some arrangements are identified as being exceptional. In such cases, approval for these arrangements must be obtained from the Pro-Vice- Chancellor for Research prior to initial registration for the degree. The Degree of Doctor in Philosophy may be conferred upon: A graduate of this or any other approved University or Institution, or a candidate who holds a qualification deemed by the Senate to be equivalent to an Honours Degree of this University who has submitted one of the following: a thesis embodying the results of his/her individual research. The thesis may contain published papers, in which case these must be integrated into the thesis in a coherent and structured manner; or a published book or books describing a coherent line of research; or a substantial collection of original creative material developed specifically in pursuit of the degree, together with a written thesis which contextualises that work within an academic framework; which is adjudged to make an original contribution to learning; which is coherently structured and clearly presented; and which shows evidence of systematic study and of ability to relate the results of such study to the general body of knowledge in the subject. Candidates for the degree will comply with the conditions contained within one of the following clauses:- 1 s/he has pursued full-time research in the University or in an Affiliated Institution approved by the Council for the purposes of this clause, for not less than two calendar years; 2 s/he is a member of the full-time academic staff of this University, or a member, recognised by the Council as a teacher of the University, or the fulltime staff of an Affiliated Institution which has been approved by the Council for the purposes of this clause, who has pursued part-time research for a minimum of four years. The evidence on which the submission is made shall be presented no later than two years after the candidate has left the employment of the University or Affiliated Institution. 3 s/he has pursued part-time research for not less than four years; the time spent studying during this period being equivalent to not less than two years full-time study; 4 s/he holds a temporary post as a Research Fellow, Research Assistant, Senior Research Assistant, or Research Associate in a Department of the University or an Affiliated Institution approved by the Council for the purposes of this clause, who has, whilst holding their appointment, pursued research for 14

not less than two years and nine months; at least twelve months of which must be spent in the University or Affiliated Institution. 5 s/he has pursued full-time research in the University and in an approved Affiliated Institution leading to a joint or dual award as part of an approved collaborative partnership agreement between the two institutions. For candidates registered under each of the above Clauses the following further conditions apply:- a) the research must be carried out under the supervision of at least two members of the academic staff of the University or Affiliated Institution appointed by the appropriate Head of School; b) the Senate may exceptionally permit a part or all of the research to be pursued outside the University under approved conditions; c) before the commencement of the programme, each candidate must have submitted evidence satisfactory to the University, and, where appropriate to the partner institution within a collaborative agreement, of adequate training and ability to pursue the proposed programme of research; d) the final submission for the degree shall not include work for which a degree or other qualification has already been awarded, except that for the sake of completeness where some previous work has been substantially further developed. In that case, all such work shall be clearly identified; e) only papers or book(s) written during the period of registration for the degree will be admissible and the papers or book(s) submitted should have a common theme with an identifiable link; f) applications for the degree based on the submission of a collection of original creative material together with a written thesis shall be accepted, on an exceptional basis, when the subject area of the submitted work is within Fine Art and the Performing Arts. REGULATIONS Within these regulations the word thesis is used generally to represent the total submitted work to be examined for the degree. All candidates should refer to Regulations 6-20 For candidates under Clause 1 of the Ordinance (i.e. full-time candidates) 1 A candidate who proposes to pursue their research study outside the University will need: 1. an approved local co-supervisor who should normally hold a permanent post and have a suitable research record; 2. to undertake successfully the Research Training Programme or obtain exemption on the grounds of suitable prior experience of accreditation. Each case must be submitted for approval by the nominated Faculty Director of Postgraduate Research, acting on behalf of the PVC for Research and the Senate, prior to the candidate s acceptance. 2 Every candidate is required during his/her course of study to devote the whole of his/her time to his/her research. S/he may, however, be allowed to undertake other work for not more than fifteen hours a week (or the equivalent of fifteen hours per week when averaged across a given academic session), unless otherwise restricted 15

by the terms and conditions of sponsorship agreements, subject to the discretion of the Head of the Department. Candidates seeking to be allowed to undertake other work must apply in writing to the nominated Faculty Director, acting on behalf of the PVC for Research, stating fully the nature and extent of the proposed work, save that duly appointed Student Teaching Assistants do not require permission in respect of such work undertaken in the University. 3 Upon application to the nominated Faculty Director, acting on behalf of the PVC for Research, a student registered under this clause may exceptionally be permitted to transfer his/her registration from full-time to part-time study. If a student is permitted to transfer his/her registration from full-time to part-time after one year, the thesis may not normally be presented for examination before the end of the fourth year of registration or later than the sixth year of registration. If a student is permitted to transfer his/her registration from full-time to part-time after two years, the thesis may not normally be presented before the end of the fourth year of registration or later than the fifth year of registration. Transfers to part-time registration requested after more than two years of full-time registration will not be permitted. 4 A thesis will normally be submitted for examination within three years of first registration for the degree and by not later than the end of the fourth year of registration. No extension of the period of registration will be granted, except with the special permission of the Senate following recommendation by the nominated Faculty Director of Postgraduate Research, acting on behalf of the PVC Research, and then normally only for reasons of ill-health or circumstances outside the control of the candidate. Notice of intention to submit a thesis shall be given on the prescribed form to the University or Affiliated Institution not less than two months before the date of submission. For candidates under Clauses 2, 3 and 4 of the Ordinance (i.e. part-time candidates) 5 A thesis must be submitted for examination within seven years of first registration for the degree. No extension of the period of registration will be granted, except with the special permission of the Senate, and then normally only for reasons of ill-health or circumstances outside the control of the candidate. Notice of intention to submit a thesis shall be given on the prescribed form to the University or Affiliated Institution not less than two months before the date of submission. For candidates under Clause 5 of the Ordinance (full-time candidates studying towards an approved Joint or Dual PhD as part of an approved collaborative partnership agreement) 6 A thesis will normally be submitted for examination by not later than the end of the fourth year of registration. Arrangement for granting extensions to this period will be stipulated in the approved collaborative partnership agreement. Notice of intention to submit a thesis shall be given on the prescribed form to the University not less than two months before the date of submission. 7 Any variations to the regulations for all candidates (8 to 22) stipulated in the approved collaborative partnership agreement for the award of joint or dual PhD degrees will supersede regulations 8 to 22. 16

For all Candidates 8 A candidate who has been accepted for a programme for the degree of Ph.D. may be permitted by the nominated Faculty Director of Postgraduate Research, acting on behalf of the PVC for Research to transfer to the programme for the Master of Philosophy degree provided that such transfer takes place before the thesis is submitted. 9 Every candidate shall register as a student of the University at the beginning of his/her programme, and again at the beginning of each subsequent year of the programme, subject to the submission of a satisfactory report on the progress of their study. Candidates on approved joint or dual PhD degree programmes will register at both partner institutions. 10 A student who is registered for the degree of PhD or an approved joint or dual PhD shall not be registered for any other degree, diploma or certificate. 11 There shall be a minimum of two Examiners to assess an application for the degree of Ph.D. There shall always be an Internal Examiner and an External Examiner. A candidate s supervisors shall normally be consulted before the Examiners are appointed. A supervisor may not be appointed as an Internal Examiner. In the case of Clause 2 candidates, a second External Examiner shall be appointed. 12 Every candidate shall be required to complete the Research Training Programme to the satisfaction of the PVC Research 13 A candidate shall state generally in the preface and specifically in the body of the thesis, the sources from which his/her information is derived and the extent to which s/he has availed himself/herself of the work of others. 14 Where submission is by written thesis alone, the thesis should be as concise as possible and in no circumstances may a thesis be submitted should the number of words exceed 100,000, including footnotes and appendices without written permission being obtained from a candidate s supervisors and the Head of School (or equivalent) concerned. Where the written thesis accompanies the submission of a collection of original creative material, the thesis should not exceed 50,000 words. 15 The written thesis, whether it is the whole submission or part of a submission, must be written in English. In the case of candidates working in the discipline of Modern Languages, the University may, exceptionally, allow a thesis to be submitted in a language other than English provided that such approval is sought and granted at the time of initial registration. 16 It will normally be expected that the candidate is the primary author of the majority of the papers or the book(s) submitted. Where joint authorship does occur, a statement of the contribution made by the applicant shall be provided, together with the status of the other authors. 17 Two copies of each submission shall be presented to the University and/or to the Affiliated or partner Institution for examination and shall be accompanied by a notification of submission on the prescribed form, duly completed by the candidate. In cases where there are more than two examiners, the equivalent number of copies of the submission shall be presented to the University. 17 Printed theses should be presented for examination in a secure temporary binding (by which is meant the thesis should be presented in such a way that the pages cannot be readily removed; therefore the use of ring binders is not permitted), bearing the title of the work on the front cover, together with the candidate s surname, initials, degree and the year. After the thesis has been approved by the

18 Examiners a copy must be submitted to the University library in electronic form and made available on the University Institutional Repository. The thesis shall be submitted in the electronic form prescribed by the Institutional Repository policy of the University (see https://eprints.liv.ac.uk/policies/e-these.html) and may be copied into a new medium or format for the purpose of future preservation and accessibility. The thesis shall be accompanied by a separate abstract indicating the aims of the investigations and the results achieved. Each abstract must not be longer than can be accomplished by single spaced typing on one side of an A4 sheet, i.e. about 450 words maximum and must show the author and title of the thesis in the form of a heading. 18 When, exceptionally, a book or books are submitted in place of a thesis, each copy of the application must contain a printed summary stating the aims of the investigation, the results achieved and the main contribution to learning of the work submitted in the application; clear photocopies are acceptable. 19 Where a collection of original creative material is also submitted for examination, the archival record should include photographic, video, cd-rom or dvd evidence, which encompasses the material submitted and any artefacts or documentation integral to the creation of the work. A short inventory with brief descriptions should also be included. 20 An oral examination of the candidate shall be held, when the Examiners shall examine the candidate on the subject of the thesis, and on matters relevant thereto. Supervisors may not be present at the oral examination but should be readily available to the Examiners for consultation before, during and after the oral examination. 21 Each Examiner shall prepare an independent written report before the oral examination. After the oral examination, a joint report should be prepared, including, when appropriate, an agreed recommendation. If the Examiners are unable to agree on a recommendation, an additional External Examiner may be appointed, who shall be required to act independently of the other Examiners. 22 The Examiners may recommend: (i) (ii) (iii) (iv) (v) that the degree of PhD be conferred that the degree of PhD be conferred subject to the candidate making minor modifications to the thesis, which do not alter the substance of the thesis in any significant or fundamental manner, to the satisfaction of one or more of the Examiners, as may be agreed between them. that the candidate be permitted to make a subsequent application for the degree of PhD on one occasion only, provided that the application is made not more than one calendar year from the date of the oral examination. A thesis may only be re-presented as the result of a recommendation made in accordance with this provision, and shall be revised having due regard to the Examiners observations. A second oral examination shall normally be held, but this may be waived at the discretion of the Examiners; that the degree of Master of Philosophy be conferred upon the candidate, subject to, if required, minor modifications being made to the thesis to the satisfaction of one or more of the examiners, as may be agreed between them; that the candidate be permitted to make a subsequent application for the degree of MPhil on one occasion only, provided that the application is made not more than one calendar year from the date of the oral examination. A thesis may only be re-presented as the result of a recommendation made in

(vi) accordance with this provision, and shall be revised having due regard to the Examiners observations. A second oral examination shall normally be held, but this may be waived at the discretion of the Examiners; that the candidate be deemed not to have attained the standard required for the degree of PhD or MPhil and that no further opportunity be allowed for examination. 19

20 Annex 2: PhD Regulations at XXXX