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Code of Practice: Professional Doctorates
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Departments/Centres’ Responsibilities
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Professional Practice and Research Supervisors’ Responsibilities
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Students’ Responsibilities
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Admissions
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Student Induction
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Supervisory Boards (research thesis)
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Examination Board and Research Students' Progress Committee
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Assessment (research thesis)
Appeals Procedures
Appeals against decisions by an Examination Board
Appeals against progress decisions - Professional Doctorates
Appeals Procedure - Examination Decision (Thesis)
Appendix 1 - Progression and Assessment Process
Appendix 2 - Criteria for the award of the degree
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Updated October 2011
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Code of Practice: Professional Doctorates
This document is a broad statement of University
requirements covering departments’, supervisors’ and students’
responsibilities in relation to professional doctorates.
Students at Partner Institutions
should note that in some cases additional local policies and
procedures apply. 1. Departments/Centres’
Responsibilities
Each Department or Centre with professional doctorates
should:
1.1.
Professional Doctorate Director
Designate a Director for each professional doctorate
(PD) or a group of professional doctorates. The Director will be
responsible to the Head of Department (HoD) for the departmental
arrangements for the relevant PD students and for liaising with and
reporting as necessary to the Dean of the Graduate School.1
1.2.
Admissions
Publicise information about entry requirements, the
structure and content of the programme, areas where supervision is
offered, whom to contact and information about funding sources
administered by the department. Designate a member of academic staff
with responsibility for professional doctorate admissions, who may be the Director or some
other member of the department.
Ensure that where an application to the programme is
received, two designated and trained members of staff are involved in
making the admissions decision. These staff may consult other staff
who are potential supervisors to discuss the application.
1.3.
Programme Information
Ensure that on acceptance of an offer of admission
(that is normally well before registration) all new PD students are
supplied with the details of the PD programme, which have been approved
by the Graduate School, including the necessary taught, professional
practice and research components. Departmental documentation will be
monitored every three years, or sooner if the department wishes to
make any major changes to the arrangements.
1.4.
Student induction
Ensure that all new PD students are provided with an
induction programme at the start of their period of study (see
section 5 below). During the induction, or within the first three
weeks of term, the PD Director should discuss the details contained in
this Code of Practice, and the departmental arrangements relating to
it. Students should be given information about expectations and
conventions regarding referencing and citations, and advised about the
University’s policy on plagiarism and on academic offences. Students
should be required to sign that they have read and understood the
documentation.
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1.5.
Placements
Where professional practice placements are part of the
professional doctorate, ensure that these are arranged in accordance
with the University’s
Guidelines for Work-Based Learning/Placement and that students
receive written information about the placements.
1.6.
Professional practice supervisors
Ensure that all new PD students have a designated
supervisor for their professional practice, whether this involves
a placement or not. A record should be kept by the Director of the
programme of the professional practice supervisors for each student for
the year/term as appropriate.
1.7.
Replacement of professional practice supervisors
Where a professional practice supervisor cannot
continue supervision for whatever reason, ensure that a replacement
supervisor is appointed. Any permanent changes, as
well as arrangements for replacement supervision where a member of
staff is on leave, must also be reported to the Graduate School on
the January and June progress lists.
1.8.
Research and generic skills training
Identify and record the student’s research and generic
skills training needs at the beginning of their studies and review
them on a regular basis. Ensure that the student has opportunities for
developing appropriate generic and research skills and that a record
of module/workshop completion and attendance is kept. This may be in
the form of a copy of a record maintained by the student that has been
signed off by the supervisor.
1.9.
Research supervisors
Ensure that no later than the beginning of the
equivalent of the second year for full-time PD programmes, and no later
than the end of the first term for part-time PD programmes, appropriate
research supervisory arrangements are in place for all PD students.
Each student must have at least one research supervisor who is engaged
in research activity and has relevant publications. Where two
supervisors are appointed, one supervisor must be nominated as the
lead supervisor who will be the first point of contact for the
student, and responsible for record keeping and providing reports.
Where a member of staff who has not previously supervised a research
student through to completion is appointed as sole research
supervisor, support must be provided through the department’s normal
mentoring arrangements as well as through the supervisory board (see
section 6 below). The Director must keep an up-to-date record of
all the PD students and their research supervisors.
A record of supervisory
meetings/communications should be kept in accordance with the
Progress and Appeals Procedure for Research Degree Students, 1.a-h
Monitoring of Student Progress.
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1.10.
Replacement of research supervisors
Ensure that adequate arrangements are made for
research supervision when any of the research supervisors either
leaves the University or is on leave and is not carrying on with
supervision during this period. Any changes in supervision must be
approved by the Director of the programme. Any permanent changes must
also be approved by the Dean.
1.11.
Research supervision and the frequency of supervisory
meetings
Agree suitable norms regarding the frequency of formal
supervisory meetings between PD students and research supervisors and
ensure they are followed by supervisors. These will probably vary
according to the discipline and the stage that the student has
reached. Departments may also wish to specify or recommend the
duration of contact. These norms should be included in the written
documentation supplied to students and research supervisors. Research
supervision should normally be provided until the student has
submitted a final version of their thesis to the examiners and should,
if this arises, cover any referral period.
1.12.
Supervisory boards
Ensure that a supervisory board involving the research
supervisor(s) and at least one member of staff who is not the
student’s research supervisor is held at least twice a year for each
full-time student from the beginning of the second year onwards and at
least once a year for part-time students. If a
student or supervisor is away from the university in the period when
the board is due, the board should be held by skype, e-mail or
video-link, Distance learning students should have at least one
face-to-face supervisory board a year.
1.13.
Time allocation for supervision
Ensure adequate academic staff time is allocated for
the supervision of each research student as part of the department’s
workload allocation model. There can be some flexibility in these
arrangements, for example, time allocations might vary according to
the stage the student has reached.
1.14.
Problems with professional practice or research
supervision
Have a clear and well-publicised procedure that
enables students to raise problems regarding their supervisory
arrangements. Students should be encouraged to raise problems with
their supervisor in the first instance. However, departments should
make it clear that students have the right to discuss supervisory
problems with a member of staff who is not involved in their
supervision, such as the PD Director or Head of Department. Students
should also be told that if they feel unable to approach a member of
the department they are free to contact the Graduate School.
Discussions about problems with either professional practice or
research supervision should remain confidential if the student
requests this. Students may request a change of
supervisor. The chair of the RSPC should consider these requests and
accommodate them where practicable, noting tht it may not always be
possible for suitable alternative arrangements to be made.
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1.15.
Research thesis submission deadlines: full-time and
part-time students
Ensure that full-time students are made aware of the
third-year research thesis deadline specified by the Director, and
that it is made clear to students that extensions to this deadline
will only be permitted where there are substantiated extenuating
circumstances. In the case of part-time students ensure that students
understand the University regulations regarding the minimum period of
permitted study before submission of their research thesis and of the
criteria for moving into a completion period, where this is
necessary. It should be made clear to all students and supervisors
that the research for the thesis must be capable of completion within the minimum
period of study.
1.16.
Progress guidelines
Provide guidelines for students regarding the volume
and quality of work to be expected at the end of each year of their
studies. These guidelines should be included in the written
documentation supplied to students and supervisors. It should be made
clear that progress from one year to the next (including for part-time
students only progress into the completion year) depends on
satisfactory achievement of the necessary work.
1.17.
Examination Board and Research Students' Progress
Committee
Ensure that a Research Students' Progress Committee
(RSPC) is held at least once a year towards the end of the academic
year and that mid-year there is another RSPC meeting or a review by
the PD Director of the progress of all PD students (see
section 7 below). In the case of programmes with a taught and/or
professional component, ensure that an Examination Board is held each
year. Depending on the length and requirements of the programme, there
may need to be an interim Examination Board.
1.18.
Reports on students’ progress
Ensure that an individual report on each student’s
progress is provided to the Dean towards the end of each year of their
study, from the RSPC.
This should indicate that all the elements for the stage of the
programme have been passed satisfactorily, and (from the second year
onward for full-time students) report the state of the research and the amount of work that
has been carried out. The report should recommend whether the student
be allowed to progress to the following year or whether a
discontinuation or downgrading is recommended.
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1.19.
Training for professional practice supervisors
Ensure that all professional practice supervisors are
supplied with the University Code of Practice for Professional
Doctorates and departmental arrangements for professional practice
supervision, are adequately trained to provide professional practice
supervision, and are fully aware of the requirements of the
supervision they provide and the standards expected of the students.
1.20.
Staff induction and training
Ensure that all new members of staff who may become
research student supervisors are seen by the Director to discuss the
University Code of Practice on Professional Doctorates and that all
supervisors are supplied with a copy of the department’s supervisory
arrangements every year. The department should also ensure that less
experienced members of staff who have not supervised a PhD through to
completion attend the University’s training for research student
supervisors and that opportunities for sharing good practice in
supervision are included in the arrangements for training and support
provided to all academic staff.
Ensure that all members of staff with responsibility
for admissions decisions have:
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read the Handbook on Graduate Admissions, which
describes the central and departmental responsibilities in respect
of graduate admissions and includes guidance on overseas
qualifications, handling student references, English Language
requirements and equality and diversity; and
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been briefed on the departmental arrangements for
processing application, by the Director of Research Studies, the
Head of Department or his/her nominee in this area.
1.21.
Academic networking
Ensure that professional doctorate students are
advised of the importance of making contact with other professionals
in the field and of presenting their work to professional audiences.
This should include advising them on the opportunities to present work
to staff and fellow postgraduates, and about attendance and
participation in appropriate seminars and conferences.
1.22.
Facilities
Ensure that PD students have access to the
departmental facilities and equipment necessary to enable them to
complete their professional doctorate successfully and that they have
adequate facilities during any placement.
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1.23.
Student feedback
Ensure that student feedback is collected and reviewed
in accordance with the University’s Code of Practice on Student
Representation Within Departments. A summary of the feedback and,
where appropriate, details of any follow-up should be provided to the
Dean on an annual basis for consideration by the
Academic Board.
1.24.
External research supervisors
Where an external supervisor is appointed, ensure that
s/he receives a copy of the University Code of Practice and complies
with its requirements.
1.25.
Appointment of examiners
Nominate examiners for a student’s thesis (see section
8.3 below).
Nominate award examiners for assessed elements of the
programme that are not covered by the Department’s taught Masters
examiners.
2. Professional
Practice and Research Supervisors’ Responsibilities
Professional practice and research supervisors have a
responsibility to:
2.1.
Code of practice and guidelines
Familiarise themselves with this Code of Practice, and
the departmental supervisory arrangements.
2.2.
Regular meetings
Professional practice supervisors must maintain
regular contact with the student through meetings during the period
when the supervised professional practice is taking place; research
supervisors should maintain regular contact with the student until the
thesis has been submitted and, if this arises, during any referral
period.
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2.3.
Guidance
Provide guidance about the nature and standard of work
expected, including advice on attaining that standard, together with
advice on professional practice and/or research in the discipline, and
ethical issues, and appropriate health and safety issues. They should
also assist each PD student in developing a clear timetable of work
and emphasise the importance of keeping to it. Research supervisors
should provide guidance on matters of research design, and on the
appropriate volume of research work for the degree in question.
2.4.
Written work, oral presentations and feedback
Request written work and oral presentations as
appropriate and comment on such work within a reasonable time.
2.5.
Accessibility, leave and supervisory changes
Be reasonably accessible to students during term-time
and advise them of any lengthy absences during the vacation. Keep each
student well informed in advance about any prospective periods of
leave and the planned supervisory arrangements during the leave.
2.6.
Update knowledge and skills
Ensure that their knowledge and skills are as
up-to-date as possible. Professional practice supervisors must attend
any training required by the Department. Less experienced research
supervisors who have not supervised a PhD through to completion must
attend the University’s course on supervising research degrees.
2.7.
Records of meetings and written work
Keep a record of dates of formal supervisions with the
student and of written work submitted, including when feedback was
provided, which can be produced later if necessary.
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2.8.
Research supervisors must ensure that meetings of the
supervisory board are arranged for each student in accordance with the
requirements set out in paragraph 6.2 below.
2.9.
Submit reports
Report on each student’s progress to the supervisory
board (research) or Board of Examiners (professional practice) as
required, indicating what has been achieved, advising where s/he
believes that the student's progress is satisfactory or where progress
is slow. In the case of supervisory boards the research supervisor
should ensure that the chair of the board forwards a report on the
board to the PD Director in time for the next RSPC meeting.
2.10.
Advising student on progress
Warn and advise students in writing, with a copy to
the Director, where work is not of the appropriate standard or is
being produced too slowly, and of steps which might be taken to remedy
the situation.
2.11.
Preparation for examination of the research thesis
Ensure that students understand the requirements of
the degree, provide guidance on the examination process, and help
students to prepare for the viva.
2.12.
Approval of title
Normally the supervisor and Head of Department are
responsible for approving the proposed title for the thesis, which
indicates that the thesis is close to submission. A student, however,
has the right to present a thesis for examination without their
supervisor’s approval.
2.13.
Appointment of examiners for the research thesis
Nominate examiners for a student's thesis (see section
8.3 below).
2.14
Thesis examination
The supervisor should not be present at the viva
without the specific permission of the Dean of the Graduate School,
and normally there should be no contact between the supervisor and the
examiners other than to arrange their appointment.
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3. Students’
Responsibilities
Professional doctorate students have a responsibility
to:
3.1.
Documentation
Read the documentation provided to them, including the
regulations for their degree, this Code of Practice and details of the
departmental supervisory arrangements. Each student should sign a form
to certify that s/he has read the documentation and agrees to abide by
it.
3.2.
Lectures, seminars, meetings
Attend lecture and seminars for their taught modules and attend meetings with their professional practice and research
supervisors and supervisory boards as arranged and prepare adequately
for them, notifying their supervisor in the event of unavoidable
absence.
3.3.
Contact with professional practice and research
supervisors
Keep in regular contact with their professional
practice and research supervisor and, also provide updates on
progress as outlined in the
Progress and Appeals Procedures for Research Degree Students, 1.a-h
Monitoring of Student Progress.
3.4.
Agreed work
Do the work required for their taught modules, and
carry out, as far as possible, the work agreed with their supervisor
and submitting written work as agreed so that they meet the required
milestones.
3.5.
Ethics, health and safety and IP
Familiarise themselves with
University and subject-specific guidelines on ethical
research, including data protection matters and with health and safety and intellectual property regulations
and obtain ethical approval as appropriate.
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3.6.
Academic referencing
Familiarise themselves with the expectations and
conventions regarding referencing other people’s work.
3.7.
Training courses
Attend any research training and generic skills
courses as agreed with the programme director.
3.8.
Report on progress
Submit reports on progress as requested to
professional practice and research supervisors, supervisory boards,
the PD Director, or the departmental RSPC.
3.9.
Keep a record of progress
Keep a record of personal progress, including a copy
of the agreed training needs, courses that need to be attended and
when they are attended. In the case of professional practice this will
usually take the form of a professional practice portfolio which forms
part of the assessment for the degree. In the case of research, this
may take the form of a log book or research portfolio to be signed off
by the supervisor, but will not be part of the assessment for the
research component.
3.10.
Significant needs or circumstances
Inform the relevant module co-ordinator or supervisor
and the PD Director promptly if there are any specific needs or
circumstances likely to affect their work.
Notify the Supervisory Board/RSPC (see
sections 6 and 7 below) in writing of any extenuating
circumstances that they believe have significantly affected their
performance.
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3.11.
Supervisory problems
Discuss any supervisory problems with the relevant
supervisor or, if they prefer, with the PD Director or the Head of
Department. Alternatively, if they feel unable to talk to a member of
the departmental staff, they should contact the Graduate School to
discuss their problems. Any discussions will remain confidential if
requested. Students may request a change of
supervisor but should note that it may not always be possible for
suitable alternative arrangements to be made.
3.12.
Submission of the thesis
Students must present their
thesis for examination by the end of the final term of their
completion period.
A request for an extension of up
to two weeks to the submission deadline may be made. Requests must
be made to the Registry in advance of the deadline. If granted an
extension, students will not be expected to register or pay the
prescribed fee for that two week period.
Students who fail to present
their thesis for examination by the deadline shall be deemed to have
withdrawn permanently from the University and from their research
degree unless they are permitted an exceptional further period of
completion.
Where a student has extenuating
circumstances that affect their ability to submit the thesis by the
agreed deadline, the Dean/Associate Dean of the Graduate School will
consider each circumstance on a case-by-case basis.
3.13.
Preparation for examination of the research thesis
Familiarise themselves with the guidelines on thesis
submission and with the examination process, and ensure that they are
prepared for the viva.
4. Admissions
4.1.
Research Opportunities
Potential students should be provided with information
on the:
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areas in which supervision is offered;
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research degree programmes offered;
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research training provided and;
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research environment in the department.
4.2.
Funding information and selection
Departments should publicise information on any
sources of funding administered by the department, including how to
apply for any scholarships/studentships (eg University of Essex
Scholarships and research council studentships) and the criteria for
awarding support. At least three people should be involved in the
decision to allocate funding.
4.3.
Entry criteria and how to apply
The department’s entry criteria should be publicised
along with information about how to apply. Guidance should be given on
preparing a research proposal, making it clear what is required. There
is a standard University postgraduate application form and Notes of
Guidance on additional requirements.
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4.4.
Considering applications
A decision to reject an application can be taken by
one member of staff where the application is to conduct research in a
field where the department does not offer supervision.
In all other cases decisions must be taken by two
designated and trained members of staff (see section 1.2
above).
4.5.
Recording decisions
A record should be kept of the reasons for rejecting
an application or for making an offer for an alternative programme. A
record may be placed within the applicant’s file, and/or a
note may be recorded under the ‘Notes’ facility on the Applicant
Details screen of the Postgraduate Admissions System.
Turnaround times
An applicant should normally receive a response within
four weeks. The University’s advertised service level to applicants is
a maximum period of six weeks. The additional fortnight may be
necessary in order to further explore the applicant’s research topic
and ascertain whether suitable supervision is available, or to
validate references. Applications may also require the longer
processing period over the Christmas vacation. Graduate Admissions
should be aware of any applications which are expected to need longer
than this maximum period and the applicant should be informed
accordingly.
4.7.
Equality and Diversity
All admissions decisions must relate to a student’s
estimated potential to succeed academically on a programme. Any criterion
used should be an appropriate and genuine requirement, which does not
discriminate directly or indirectly against any individual or group on
the grounds of gender, colour, ethnic or national origin, age,
socio-economic background, disability, religious or political beliefs
and affiliations, family circumstances or responsibilities, sexual
orientation, gender identity or other irrelevant distinction. Further
guidance is available in the published handbook “Equality
Policy and Strategy 2011-14”.
An online tutorial is available to admissions staff.
4.8.
Communicating admissions decisions
Offer letters are issued by the Head of Graduate
Admissions on behalf of the Dean of the Graduate School. The offer
letter will state the degree programme for which the student is being
offered a place, the start date of the study period, the duration of
the programme, the estimated cost of tuition fees and living expenses and
any conditions which must be met in order for the place to be
confirmed. The web address for the Code of
Practice: Professional Doctorates is also provided. From May of each year, applicants holding offers and
receiving new offers, are sent information on University
accommodation, how to access the online
International Student Handbook and confirmation of the tuition
fee amounts for the forthcoming year.
Applicants who are rejected are informed in writing by
the Graduate Admissions Office.
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4.9.
Monitoring
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EQUALITY AND DIVERSITY
The University’s Equality and Diversity Committee (EADC)
receives a summary of monitoring of gender, disability and
ethnicity for
applications and rejections at its Autumn meeting each year. In advance of EADC, each department
will receive a detailed report from the Head of Graduate Admissions,
with a request for feedback on any anomalies.
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TURNAROUND TIMES
The Head of Graduate Admissions will monitor the
turnaround times of research degree applications in accordance with
paragraph 4.6 and will raise any concerns with the Head of
Department1 concerned.
5. Student Induction
5.1.
Information
Professional doctorate students should be provided by
departments with the following information as soon as possible after
they accept their offer and no later than the end of the second week
of their first term:
-
general information about the University and its
postgraduate portfolio in the relevant subject(s);
-
the University’s procedures for professional
doctorates;
-
details of the professional doctorate including the
taught elements, professional practice (including any placements)
and research, and the assessment requirements;
-
general information on student support and welfare
services;
-
a summary of the facilities that will be made
available to the student;
-
relevant health and safety and other legislative
information.
5.2.
Face-to-face induction
Departments should hold a face-to-face student
induction no later than the end of the third week of the first term.
This should cover:
-
the University’s and the students’ responsibilities
as set out in this Code of Practice;
-
the challenges that will typically face professional
doctorate students during the course of their studies and where
guidance may be sought in the event of difficulties;
-
progress and where appropriate completion
procedures, and requirements;
-
when and how professional practice and research
supervisors will be identified and information about supervisory
arrangements;
-
the University’s research ethics and codes and those
of relevant professional bodies and discipline groups;
-
issues concerning authorship, plagiarism and
intellectual property;
-
details about opportunities and requirements for
skills development;
-
opportunities for careers advice and preparing for
post-graduation;
-
opportunities for postgraduates to be represented on
departmental and school student liaison committees and the
Academic Board;
-
opportunities for interdisciplinary activities;
-
departmental policies on funding attendance at
conferences.
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6. Supervisory Boards (research
thesis)
6.1.
Composition
Supervisory boards should normally consist of the
research supervisor(s), plus at least one other member of the academic
staff who is not involved in supervising the student. The supervisory
board should be chaired by a board member who is not supervising the
student. Where the supervisor is a less experienced member of staff
who has not supervised a student through to completion, the chair must
be an experienced supervisor. 6.2.
Timetabling and frequency of meetings
Research supervisors should ensure that meetings of
supervisory boards with the student are arranged at least twice a year
for full-time students during their second and third years and at
least once a year for part-time students until they have submitted.
6.3. Advice, monitoring and reports
The purpose of supervisory boards is to provide the
student with a wider range of advice on their research and to provide
an opportunity to reflect on the student’s progress. It is also the
role of the chair of the board to prepare a formal report on the
student’s progress for the Director and/or RSPC. At each
meeting, the supervisory board should receive a written report from
the student on progress and a future work schedule as well as oral or
written comments on the student’s progress from the supervisor.
The supervisory board may also receive a formal
report of extenuating circumstances from the student, which should
be considered by the board and included in the report to the RSPC.
At the
end of the meeting, the chair should complete a report of the board,
including any recommendations made, which should be seen and
acknowledged by the supervisor and the student. If there is concern
about the student’s progress this must be indicated clearly in the
chair’s report. A copy of the report should then be forwarded to the
Director, along with the student’s report, for consideration at the
next Board of Examiners/PDPC meeting. 6.4.
Board membership and internal examining
No member of staff who has been a member of a
supervisory board during the final six months before submission of
the thesis may be nominated as the internal examiner. [top of page]
7. Examination Board and Research
Students' Progress Committee
See the
chart at Appendix 1
below.
7.1.
Composition and role of the Examination Board
An Examination Board is responsible for making
decisions on any taught or professional elements of a professional
doctorate.
The Examination Board for a professional doctorate
should follow the University’s rules concerning the composition of
Examination Boards and those concerning anonymity. The Board must be
chaired by an experienced member of staff from outside the Department
and must include the Director. The other members would normally
include an experienced professional practice supervisor. The
Examination Board must meet annually, and may have interim meetings. The
Examination Board will agree any marks for taught modules and receive
reports on any professional component. The Examination Board will send
a copy of the pass list and marks grid to the Research Students'
Progress Committee.
7.2.
Composition and role of the RSPC
The postgraduate Research Students' Progress Committee (RSPC), to
be established by each department, should be chaired by the DRS or HoD, and should include at least two
other experienced supervisors. It should review the progress of every
student through to the award of a degree, withdrawal or failure, on
the basis of the reports from the supervisory board, including the
written report from the student and any submission
of extenuating circumstances. Where no supervisory board has taken
place, for instance because a student is carrying out research abroad,
the supervisory and the student much each submit a progress report. A
decision/recommendation for discontinuation or downgrading, to permit entry
into completion or to extend the minimum period, can only be made by the RSPC (see
section 7.4, 7.5, and 7.6
below). Where the RSPC is considering a
recommendation from a student's supervisory board of discontinuation or downgrading, the RSPC membership
must include at least two members who were not on the student's last
supervisory board. Smaller departments may want to co-opt a colleague
from another department in a cognate discipline as a member of the
RSPC if the department finds it difficult to satisfy this requirement.
7.3.
Frequency and timing
There should be at least two formal reviews of
research students' progress each year, one held mid-year in
December/January and one in June. Any review that decides/recommends
progression to the next year, entry into the completion period where appropriate,
and any recommendation for discontinuation or downgrading should
normally take the form of a face-to-face meeting of the RSPC. Any
other review may either take the form of a meeting of the RSPC or of a
review of the progress of all research students by the DRS on the
basis of the written reports from supervisory boards.
An additional meeting of the RSPC may be required in
September to consider any outstanding progress decisions which need to
be made before the start of the new academic year.
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7.4.
Taught/professional requirements
For students on a professional doctorate programme
that includes compulsory taught and/or professional requirements, as
part of the consideration of students' progress, the RSPC shall
receive a copy of the recommendations from the appropriate Board of
Examiners meeting, including the approved marks.
7.5.
Reports and recommendations to the Dean
The RSPC will report its decisions/recommendations on
each student to the Graduate School at least annually as follows:
-
a list of the decisions on students who have been
allowed to proceed with their studies either unconditionally or
subject to further review at a specified date if appropriate;
-
a recommendation that the student's status should be altered (eg
downgraded, minimum period extended, moved into completion, etc); or
-
a recommendation that the student's studies should be discontinued.
The Dean may accept or reject the recommendation.
In all cases, a copy of the supervisory board report
on each student shall be forwarded to the Graduate School.
7.6.
Downgrading or discontinuation
If the RSPC is minded to make a recommendation that a
student's status be downgraded or studies discontinued, the student
must be offered an opportunity to discuss this with the RSPC before
the final recommendation is forwarded to the Dean and if appropriate
to present evidence about any extenuating circumstances. If
downgrading or discontinuation is confirmed by the RSPC the student
may then request a review of the recommendation (see Appeals against
Progress Decisions). The Committee should in all cases inform the
student in writing of the Committee's recommendation and of the
opportunity to appeal.
7.7.
Mid-year recommendations and special meetings
The RSPC can recommend discontinuation or downgrading
at any point in the academic year and special meetings can be convened
at any time.
7.8.
Requests for further information from the Dean
The Dean may request further information on any
student and discuss his/her progress with the student, supervisor, DRS
or HoD as necessary. The Dean may require the departmental RSPC to
reconsider the situation of any student, and its progress decisions,
where this seems necessary. In cases where the student(s) concerned is
supervised by the Dean, or he/she serves on the supervisory board, the
Dean shall arrange for another Dean to act in any circumstances that
depart from normal expectations.
8. Assessment (research thesis)
8.1.
Nomination and appointment of thesis examiners
When a student submits their Approval of Title Form,
the department will be asked to nominate two examiners: one internal
and one external, whose names have to be approved by the Dean of the
Graduate School.
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8.2.
Staff candidates
In the case of staff candidates the department must
nominate three external examiners, two of whom will be appointed by
the Dean.
8.3.
Eligibility to be an internal examiner
The internal examiner for a research degree should be:
-
a member of the academic staff of the University or
partner institution;
-
research active with appropriate expertise;
-
normally have a degree, or equivalent2,
at the level at which they are being appointed to examine (if not a
case as to their suitability needs to be made).
The internal examiner should not:
-
have been the student's supervisor (main, joint or
secondary) other than acting as a temporary supervisor for a period
of up to a year but not in the final 12 months before submission of
the thesis;
-
have been a member of the supervisory board during
the final six months before submission of the thesis;
-
have a professional or personal relationship with
the student or the external examiner that might give rise to a
conflict of interest;
-
be the partner or a close relative of the supervisor
(main, joint or secondary).
8.4.
Eligibility to be an external examiner
The external examiner for a research degree should be:
-
research active with appropriate expertise;
-
normally employed in an HE institution (if not,
including Emeritus Professors, a case to their suitability needs to
be made);
-
a senior member of staff and/or an experienced
examiner (if not, a senior and experienced internal examiner must be
appointed);
-
qualified to the level at which they are being
appointed to examine (if not, a case as to their suitability needs
to be made).
The external examiner should not:
-
have been a former member of the academic staff or a
member of the University or partner institution in the past five
years;
-
have been involved in the supervision of the
student;
-
have a professional or personal relationship with
the student, the student's supervisor or the internal examiner that
might give rise to a conflict of interest.
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8.5.
Role of the external examiner
The external examiner's duties are as follows:
-
to read the thesis;
-
to reach an independent judgement on the thesis,
against the appropriate criteria for the award, without consulting
the internal examiner about the assessment, and to record this on a
preliminary Report Form prior to the viva;
-
to attend the viva and viva pre-meeting;
-
to come to an agreement (see paragraph 8.11 below) with the internal
examiner the outcome of the examination;
-
with the internal examiner, to complete the Joint
Report Form;
-
in the case of a referral, normally to re-examine
the referred thesis.
8.6.
Role of the internal examiner
The internal examiner's duties are as follows:
-
to read the thesis;
-
to reach an independent judgement on the thesis,
against the appropriate criteria for the award, without consulting
the external examiner about the assessment, and to record this on a
preliminary Report Form prior to the viva;
-
to oversee the arrangements for the assessment
process including liaising with the external examiner to set a date
for the viva;
-
to ensure that the department notifies the student
of the date for the viva;
-
to oversee the proceedings at the viva;
-
to come to an agreement (see paragraph 8.11 below) with the external
examiner the outcome of the examination;
-
with the external examiner, to complete the Joint
Report Form;
-
in the case of a referral, normally to re-examine
the referred thesis.
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8.7.
Timescale
The viva should normally be held no later than three
months after the receipt of the thesis by the examiners.
8.8.
Conduct of the viva
Both examiners should be present at the viva and are
expected to follow the Guidelines on the Viva. The examiners should
hold a pre-viva meeting to discuss their preliminary views on the
thesis and to plan the viva. The candidate should be given the
opportunity to defend the thesis. It will usually be necessary for the
candidate to leave the room while the examiners confer as to the
outcome of the examination and the candidate should then be told the
result. Where it is not possible to conduct the viva face-to-face,
permission must be requested from the Dean of the Graduate School for
the viva to be conducted via a video link.
8.9.
Independent Chair
In certain circumstances, such as where the candidate
is examined only by external examiners or in an examination following
an appeal, the Dean may appoint an independent chair to attend a viva.
Where there is no internal examiner, the independent chair will
perform the co-ordinating function in relation to the examination
process. The independent chair is not an examiner of the thesis.
8.10
Reports and Recommendations
Before the viva, the internal and external examiners
each complete, independently, a preliminary Report Form giving their
initial assessment of the thesis, which is submitted to the Graduate
School.
Following the viva, the examiners complete a Joint
Report Form, which records the outcome of the examination, including
the formal recommendation. The examiners may make the following
recommendations:
-
pass - no corrections
required;
-
pass with minor
typographical/presentational corrections - the student makes
the corrections prior to binding the thesis;
-
pass with
minor editorial revisions to be made within two months - the
examiners must provide a list of the revisions that they wish to
see made and the internal examiner must confirm in writing that these have been made satisfactorily. Revisions must be made
and the thesis submitted within two months;
-
pass with editorial revisions
to be made within four months - the examiners must provide a list of revisions that they wish to see made and the
internal examiner must confirm in writing that these have been made satisfactorily. Revisions must be made and the thesis
submitted within four months;
-
referral -
for re-examination in up to 12 months - the student may resubmit, on one occasion only, a revised thesis for
re-examination within 12 months. The examiners must provide a
statement describing the shortcomings of the thesis and the changes
required. These may include, amongst other things, editorial
corrections and revisions, rewriting a part, parts or the whole of
the thesis, the carrying out of further research and/or experimental
work. They must also specify the referral period required, which
should not normally be less than four months or exceed 12 months;
-
fail - the examiners must provide
a clear statement describing the shortcomings of the thesis.
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The examiners may also recommend
the following:
-
award of a Masters by Dissertation – the candidate
has not met the requirements for an MPhil but has met the requirements
for the degree of Masters by Dissertation. No
corrections are required but the candidate must amend
the title page of the thesis.
-
award of Masters by Dissertation
with minor editorial
revisions to be made within two months
– the candidate has not met the requirements for an
MPhil but has met the requirements for the degree of Masters
by Dissertation subject to the approval of minor
editorial revisions.
The examiners must provide a list of the
revisions that they wish to see made and the internal examiner must
confirm in writing these have been made satisfactorily. Revisions
must be made and the thesis submitted within two months.
-
award of Masters by Dissertation
with editorial revisions to be made within four months -
the examiners must provide a list of the revisions
that they wish to see made and the internal examiner must confirm in
writing these have been made satisfactorily.
Revisions must be made and the thesis submitted within four months;
-
referral for a Masters by Dissertation – the
candidate has not met the requirements for an
MPhil but may resubmit a revised thesis for re-examination
for the degree of Masters by Dissertation. The
examiners must provide a statement describing the shortcoming of the
thesis and the changes required. These may include, amongst other
things, editorial corrections and revisions, rewriting a part, parts
or the whole of the thesis, the carrying out of further research
and/or experimental work. They must also specify the referral period
required, which should not normally be less than four months or
exceed 12 months.
Candidates are entitled to receive copies of the
examiners’ pre and post viva reports on their thesis on request, when
examining is complete.
On receiving the examiners' recommendation, the Dean
of the Graduate School will seek confirmation from the PD Director
that all components of the PD programme have been completed
satisfactorily before approving the award of the degree.
8.11.
Waiving the Viva
FIRST SUBMISSION
Permission to waive a viva will only be granted by the
Dean in exceptional circumstances. The Dean would then notify the
student of the examiners' wish not to hold a viva and the reasons for
it, but they would be told that they have the right to have a viva if
they wish.
REFERRED THESIS
Where the recommended outcome of the examination of a
referred thesis is a pass, then a request by the examiners to waive
the viva will normally be granted. Where the recommendation is not a
pass then a request by the examiners to waive the viva will only be
granted in exceptional circumstances. The Dean would then notify the
student of the examiners' request and the reasons for it, but they
would be told that they have a right to have a viva if they wish.
8.12.
Disagreement between examiners
When the examiners are unable to reach agreement on
the outcome of the examination they shall record this on the Joint
Report Form. A new internal and external examiner shall be appointed.
The new examiners will be informed that the first examiners failed to
reach a decision but will not be shown the preliminary reports. The
new examiners will examine the thesis in the normal manner.
8.13.
Suspected plagiarism
If either of the examiners suspect plagiarism at any
stage during the examination process they should notify the Graduate
School which will arrange for the matter to be investigated in
accordance with the University’s Academic
Offences Policy. The viva shall be suspended.
1The title 'Dean of the Graduate School' also refers to
the Associate Dean of the Graduate School.
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Appeals Procedures
Appeals against decisions by an Examination Board
Appeals against progress decisions
- Professional Doctorates
Appeals Procedure - Examination Decision (Thesis)
Appendix 2
Criteria for award of a research degree
The work (thesis/dissertation) submitted by a
candidate for a research degree is assessed against the following
criteria as set out in the Higher Degree Regulations.
Masters by Dissertation
A candidate submitting a dissertation for a Mastership
is required to present the results of research carried out during the
approved period of study and should demonstrate advanced understanding
of the area of study. The dissertation should set out the relationship
between the candidate’s work and the wider field of knowledge, and
should be expressed clearly and concisely.
In the case of a thesis involving
original creative output, for the degree of Masters by Dissertation,
the thesis must embody the results of research carried out/or output
created during the approved period of study and should demonstrate
advanced understanding of the area of study. The thesis must contain
a commentary which addresses the originality and artistic relevance
of the work.
The dissertation should set out
the relationship between the candidate's work and the wider field of
knowledge/the genre, and should be expressed clearly and concisely.
Master of Philosophy
A thesis submitted by a candidate for the degree of
Master of Philosophy must embody the results of research carried out
during the approved period of study and should make a contribution to
knowledge. In the thesis and the examinations the candidate is
required to present the results of research that either forms original
work or is an ordered and critical exposition of existing knowledge.
The thesis should set out the relationship between the candidate’s
work and the wider field of knowledge, and should be expressed clearly
and concisely.
In the case of a thesis involving
original creative output, for the degree of Master of Philosophy,
the thesis must embody the results of research carried out and/or
output created during the approved period of study. The thesis must
contain a commentary which addresses the originality and artistic
relevance of the work. Within the thesis the candidate must show
evidence of originality of the work or an ordered and critical
exposition of existing knowledge/the genre.
The thesis should demonstrate an
understanding of the relationship between the candidate's work and
the wider field of knowedge/the genre, and should be expressed
clearly and concisely.
Doctor of Medicine
The thesis must meet the requirements for the degree
of Master of Philosophy.
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Doctor of Philosophy
A thesis submitted by a candidate for the degree of
Doctor of Philosophy must embody the results of research carried out
during the approved period of study. In the thesis and examinations
the candidate is required to conduct and present original
investigations that make a significant contribution to knowledge, to
test ideas, whether the candidate's own or those of others, to
understand the relationship of the theme of the investigations to a
wider field of knowledge and to express him/herself clearly and
concisely.
Professional Doctorate
A thesis submitted by a candidate for the doctorate
must embody the results of research carried out during the approved
period of study. In the thesis and the oral examination the candidate
is required to conduct and present original investigations that make a
significant contribution to the nature of practice within the
profession or to the way theory is applied, to understand the
relationship of the theme of the investigations to a wider field of
knowledge and to express him/herself clearly and concisely.
In the case of a thesis involving
original creative output, for the degree of Doctor of Philosophy,
the thesis must embody the results of research carried out and/or
output created during the approved period of study. The thesis must
contain a commentary which addresses the originality and artistic
relevance of the work.
Within the thesis and oral
examination the candidate must show evidence of the originality of
the work, demonstrate an understanding of the relationship of the
theme of the thesis to a wider field of knowledge, make a
significant contribution to knowledge/the genre, and must expess
him/herself clearly and concisely.
Word length
| Degree |
Maximum word length3 |
| Masters by Dissertation |
30,000 |
| MPhil |
50,000 |
| Doctor of Medicine |
65,000 |
| PhD |
80,000 |
| Professional Doctorate |
40,000 |
These word lengths exclude any references and
bibliography.
1Head of Department
shall also be taken to include Head of School, Director of Area,
Centre or Institute or a nominated academic for a partner institution.
2A Professor with appropriate publications
should be considered to be 'equivalent' and a case would not need to
be made.
3Maximum
word lengths for a thesis including creative output may vary
depending on the format of the thesis submission. Nominal word
lengths for each format are to be approved by the Graduate School
and published to students.
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Links: Procedures and Guidelines
Academic Offences Procedures
Appeals Procedure for Research Degree Students
Code of Practice on Teaching and Demonstrating by Graduate Students
Code
of Practice: Postgraduate Research Degrees
word
version
Conduct
of Research Degree Vivas by Video Link
|
