THE GRADUATE SCHOOL
Research Degrees Handbook
Guidance for
research degree students,
academic staff,
examination teams and
professional services staff
December 2014
2014 Edition
PLYMOUTH UNIVERSITY
LIST OF CONTENTS
RESEARCH DEGREES HANDBOOK
Introduction .............................................................................................................. 3
The Graduate School ............................................................................................... 3
Who to contact ......................................................................................................... 4
Sources of additional useful information ............................................................... 5
Researcher Development Programme ................................................................... 8
Regulations and Code of Practice ........................................................................ 11
1.
Introduction .................................................................................................. 11
2.
General Conditions ...................................................................................... 12
3.
Starting a Research Degree Programme..................................................... 15
4.
The Candidate/Supervisor Relationship ...................................................... 21
5.
Confirmation of Route .................................................................................. 25
6.
Research Training ....................................................................................... 26
7.
Monitoring of Progress................................................................................. 27
8.
Failure to Progress ...................................................................................... 27
9.
Amendments to Registration ....................................................................... 29
10. Presentation and Submission of the Thesis ................................................. 31
11. Examination and Outcome of Examination .................................................. 35
12. Posthumous Degree and Aegrotat Award ................................................... 42
13. Problems and Queries ................................................................................. 43
14. Complaints Procedure for Research Degree Candidates ............................ 44
15. Appeals Against Academic Decisions.......................................................... 44
Minimum benchmark facilities for postgraduate research students ................. 45
Notes of guidance for examiners .......................................................................... 49
The roles and responsibilities of chairs at viva voce examinations .................. 57
QAA framework for higher education qualifications ........................................... 61
Descriptor for qualifications at Masters (M) level: Masters degree ....................... 62
Descriptor for qualifications at Doctoral (D) level: Doctoral degree ...................... 63
Appendix 1 - presentation of a thesis ................................................................... 65
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2014 Edition
INTRODUCTION
Welcome to Plymouth University
This handbook has been produced by the Graduate School to provide information
and guidance for research degree candidates, their supervisors, examiners and
examination chairs and includes the rules governing the registration as well as
guidance through the registration process.
The Research Degree Regulations and Code of Practice cover the mandatory
aspects of registration. Additional information has also been included which you may
find useful. If there is any information which you would like to see included in a future
edition then please let us know. If you have any queries concerning this Handbook or
any aspect of research degree registration please get in touch.
THE GRADUATE SCHOOL
Our commitment to providing high-quality postgraduate opportunities with the right
blend of specialist knowledge, research training and professional knowledge ensures
we meet the personal and career needs of our postgraduate students. The dedicated
Graduate School plays a central role in their development and supports and nurtures
a vibrant, inclusive postgraduate community.
Professor Mick Fuller,
Head of Graduate School
Plymouth University
Drake Circus
Plymouth
PL4 8AA
Tel.: +44 (0)1752 587640
Fax: +44 (0)1752 587634
[email protected]
[email protected]
http://www.plymouth.ac.uk/graduateschool
http://intranet.plymouth.ac.uk/gradsch
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Introduction
2014 Edition
WHO TO CONTACT CONCERNING INFORMATION, ADVICE AND QUERIES
Director of Studies
Your Director of Studies will be your main contact in all project-related matters. You
will work under the guidance of your Director of Studies throughout your research
programme but will be required to work independently for a substantial part of the
time and ultimately you are responsible for the submission of your thesis. As a result
of the close working relationship between supervisor and candidate, difficulties may
arise from time to time most of which can be dealt through consideration on both
parts and the establishment of good communications. Your Director of Studies will
aim to assist in every aspect of your work, to build your confidence in your work and
support you in any other matters that might affect your studies.
Second Supervisor(s)
Your second supervisor is appointed to provide joint support with your Director of
Studies to assist you on your research project. He/she may provide specialist
knowledge in one particular aspect of your project and may also help to provide a
balanced perspective. You, your Director of Studies and second supervisor(s) will be
expected to work together as a team throughout your research degree programme.
Doctoral Training Centre (DTC) Director
The DTC Director is a member of academic staff in charge of the leadership of the
Doctoral Training Centre.
A DTC will be characterised by the following:
 A cognate discipline with defined subject specific training needs
 A training programme with Masters level modules and a cohort approach
 100+ research students
 Responsibility for student support
 A mentoring system of peer student support
 A mentoring system of supervisor support & development
 Responsibility for admissions & progression
 Responsibility for monitoring & reporting
DTCs give the University clear channels for the strengthening and development of
graduate training in support of the Research Strategy and in response to the leads
being given by the Research Councils and the European Commission.
Research Degree Coordinator
The local Research Degree Coordinator will be a member of academic staff who
may have been appointed at School level or at Faculty level. This person will be able
to advise and assist you on local research matters and the local processes and will
normally be responsible for the annual monitoring of progress, research seminars
and local induction. If you wish to raise a query with someone outside your
supervision team then this is the person to contact.
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Introduction
Doctoral Traning Centre (DTC) Administrator
There are Doctoral Training Centre (DTC) Administrators, members of the Graduate
School, who deal with day to day administrative matters for research students.
Queries relating to enquiries, admissions, logbook, Graduate Sub-Committee
deadlines, enrolment, annual monitoring as well as other issues can often be
resolved with the administrator.
Research Student Representative
The School and/or Faculty will have a research candidate representative on their
local Graduate Sub-Committee. Contact your Research Degree Coordinator or DTC
Administrator to find out who this is and how they can be contacted if you wish to
raise an issue at one of these meetings.
The Graduate Committee also has two research student members, selected from
and by the postgraduate research students, as well as the Chair of the PG Society,
representing the research students. Furthermore, the Students’ Union is also
represented. Please contact the Graduate School if you would like further
information or visit the Graduate Sub-Committee community
(http://intranet.plymouth.ac.uk/gradcom).
Head of School and Dean of Faculty
The final decision concerning issues raised at local level normally rests with the
Research Degrees Coordinator, the DTC Director, the Head of School or the Dean of
Faculty. Issues are normally only referred to the Dean when other channels have
been exhausted. In most cases if issues are raised directly with the Dean these will
initially be referred back to the School or DTC.
The Graduate School
The Graduate School provides information, advice and assistance to staff, students
and external bodies concerning research degrees and all related matters. As a
central office with knowledge and contacts spanning all Faculties we are often a
useful point of contact for queries.
Particular areas dealt with by the Graduate School that relate to research degree
candidates include: admissions procedures, research degree enrolment and
registration, confirmation of route, examination and tuition fees.
The Graduate School is also responsible for the coordination of certain workshops,
generic skills training sessions, facilities, etc. for research students. Please visit the
Graduate School webpages (http://www.plymouth.ac.uk/graduateschool) or the
Researcher Development Programme (http://www.plymouth.ac.uk/researchskills) for
up to date information.
If problems or queries arise which candidates would like to discuss initially with a
member of staff outside their School or DTC they may contact the Graduate School
and all matters are dealt with in an impartial manner.
SOURCES OF ADDITIONAL USEFUL INFORMATION
Research
Various publications are available on the research process, methodology, writing
techniques, supervision and teaching. The following publications should be available
in the University and public libraries:
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Introduction
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2014 Edition
E.M. Phillips, D.S. Pugh: How to Get a PhD: A Handbook for Students and
their Supervisors. O.U. Press. This book is a handbook and a survival manual
which discusses the nature of a PhD qualification, methodology and the overall
process of research degree registration. The difficulties in achieving a PhD are
discussed in a chapter entitled 'How Not to Get a PhD'. Included in the book are
many honest quotes from candidates and supervisors which many candidates
will relate to.
P. Cryer: The Research Student's Guide to Success. Open University Press.
Described as providing practical information for the process of research study.
L. Orna, G. Stevens: Managing Information for Research. Open University
Press: Described as a book for first-time researchers, which addresses time
management, organising information, producing written work, etc.
SERC: Research Student and Supervisor: An Approach to Good
Supervisory Practice. A useful common sense booklet particularly useful for
supervisors. Copies are available from the Graduate School.
R. Murray: How to Write a Thesis. Open University Press.
M. Wilkin: Learning to Teach in Higher Education. CEDAR. Described as a
manual for teaching assistants and graduate students who are teaching
undergraduate students for the first time. It includes practical advice on preparing
handouts, using audio-visual aids, giving a lecture and evaluating a teaching
session.
J. Bell: Doing Your Research Project: A Guide for First-Time Researchers in
Education and Social Science. Open University Press.
P. Salmons: Achieving a PhD - Ten Students' Experience. Trentham Books.
H.S. Becker: Writing for Social Scientists: How to Start and Finish Your
Thesis, Book or Article. University of Chicago Press.
J.W. Cresswell: Research Design; Qualitative and Quantitative Approaches.
Sage Publications.
P. Cunleavy: Authoring a PhD How to Plan, Draft, Write and Finish a
Doctoral Thesis Dissertation. Palgrave Macmillan.
R. Murray: How to Survive your Viva. Open University Press.
S. Delamont, P. Atkinson, O Parry: Successful Research Careers: a Practical
Guide. Open University Press.
Prospects Postgraduate Study
The Prospects Postgraduate Directory provides national information on graduate
study and research opportunities and is available in University Careers Offices and
Libraries. It can also be accessed on the web at http://www.prospects.ac.uk.
National Postgraduate Committee (NPC)
This organisation was formed in 1992 with the aim of representing and advancing
publicly the interests of postgraduate students within the U.K., of promoting the
welfare of postgraduate students at institutions of Higher Education in the U.K. and
promoting communication and cooperation between postgraduate student
associations and societies. The Committee provides a series of guidelines in regard
to postgraduate research and courses and organises various events around the
country.
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Introduction
Membership of the Committee is not restricted to postgraduate students and may
well be of interest to academics and administrators. Details about individual
membership and/or events, publications or information can be obtained from
Web address: http://www.npc.org.uk or Email: [email protected]
EURODOC
The council for postgraduate students and junior researchers in Europe. Officially
created in February 2002, EURODOC was founded by the PhD student associations
and unions of the European states.
EURODOC's targets:
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To give an official frame for the collaboration of Europe's doctoral/postdoctoral
students' unions.
To represent the European doctoral students and young researchers at a
European level towards all political and administrative institutions.
To be a discussion platform for doctoral students and young researchers, senior
scientists and science policymakers (discussing the current and future problems
of science policy and those of young scientists in particular).
To make propositions to achieve the amelioration of the status of PhD students
and young researchers.
Further information on EURODOC can be found on their website or via the board
members:
President of EURODOC board: [email protected]
All board members: [email protected]
Website: http://www.eurodoc.net
VITAE
VITAE’s vision is for the U.K. to be world-class in supporting the professional
development of researchers and researcher careers.
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Championing the development and implementation of effective policy,
Enhancing higher education provision through sharing practice and resources,
Providing access to development opportunities and resources,
Building an evidence base to support the researcher development agenda.
VITAE works with higher education institutions and research institutes to provide
specific support for doctoral researchers and research staff. VITAE champions the
common needs and interests of all researchers. There are approximately 90,000
postgraduate researchers studying for doctoral degrees and 40,000 research staff
employed within the U.K. higher education sector and research institutes.
Researchers have a diversity of experiences, status, backgrounds, needs and
aspirations.
VITAE’s work with researchers:
VITAE provides resources, advice, information and fora for individual postgraduate
researchers and members of research staff who are interested in their professional
development and careers.
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Introduction
2014 Edition
Activities include:
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A dedicated researchers’ portal with information, news and opportunities
www.vitae.ac.uk.
A programme of national courses and activities including ‘GRADschools’ which
are three to four day experiential programmes for postgraduate researchers
focusing on developing their professional skills and career goals, ‘Careers in
Focus’ programmes and other activities,
Labour market and careers information including surveys and research,
Opportunities to input to national policy developments and initiatives.
RESEARCHER DEVELOPMENT PROGRAMME
PLYMOUTH UNIVERSITY GRADUATE SCHOOL
The Graduate School is also offering workshops and seminars that are designed to
support research students in their studies and in their professional development.
Information about the workshops available can be found on the Graduate School
website (http://www.plymouth.ac.uk/graduateschool) and in the portal
(http://intranet.plymouth.ac.uk/postgrad/ - for internal staff and students use only).
Queries related to the generic skill sessions can be addressed via e-mail to
[email protected].
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Introduction
RESEARCH DEGREE REGISTRATION - TIMETABLE
Key tasks and milestones are detailed below. This list of tasks should be used as a
‘check-list’ to ensure that milestones are achieved within the stipulated time. Please
also refer to the University-wide and local quality procedures or handbooks.
This table applies to those research students who started their programme of study
on or after 1st August 2003.
MILESTONE
FORM
Enrolment
Project Approval
RDC.1
Re-enrolment
Annual monitoring
WHEN
TASK
Day 1
Candidate enrols with University
By month 6
(FT) or
month 12 (PT)
Every
September/
October
Submit RDC.1 to Local Research
Committee
Every
academic year
Assessment at local level and DTC
summary report sent to Graduate
Sub-Committee
Submit RDC.2/2A, confirmation of
route report and reports from Expert
Commentator and supervisors to
Local Research Committee
Confirmation of
route
RDC.2/
2A
By month 18
(FT) or
month 24 (PT)
Examination
arrangements
RDC.3
~6 months
prior to
submission
Submission of
thesis
RDC.3S
Viva voce
examination
Candidate re-enrols with University
DTC to submit RDC.3 to PGR EE
Sub-Committee for consideration
Candidate submits thesis to Graduate
School office
~ 1 month after Director of Studies to arrange date,
location and time of examination
submission
Research Degree Candidate (RDC) forms are available via the Graduate School
Community in the portal (http://intranet.plymouth.ac.uk/gradsch):
RDC.1
RDC.1A
RDC.1B
RDC.2/2A
RDC.3
RDC.3S
Project Approval
Changes to Research Degree Registration
Changes to Supervisory Team
Confirmation of Route
Examination Arrangements
Declaration of Submission of Thesis
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PLYMOUTH UNIVERSITY
REGULATIONS AND
CODE OF PRACTICE
FOR THE DEGREES OF
RESEARCH MASTERS,
MASTER OF PHILOSOPHY,
MASTER OF SURGERY
DOCTOR OF PHILOSOPHY,
DOCTOR OF MEDICINE,
AND PROFESSIONAL DOCTORATES
NOTE: Current Regulations for Approved Programmes of Study Leading to the
Plymouth University’s Awards will apply to all candidates. These can be found from
the Faculty Office or at http://www.plymouth.ac.uk/studenthandbook.
These Regulations and Code of Practice should be read in conjunction with the
University-wide quality procedures for Research Degrees (available at
https://www.plymouth.ac.uk/student-life/your-studies/the-graduate-school) and the
University Student Handbook, available at
http://www.plymouth.ac.uk/studenthandbook.
Research degree students are also required to read and adhere to the following
policies and procedures:
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students and intellectual property/intellectual property policy
(www.plymouth.ac.uk/research),
 Plymouth University Research Ethics Policy (www.plymouth.ac.uk/research),
which includes, among others, Procedure in the Case of Research Misconduct
and Good Practice in Research
Where “Local Research Coordinator” and/or “Head of School” and/or “Dean of
Faculty” and/or “DTC Director” appears then “Head of Research” and/or “Vice
Principal” and/or “Principal” should be read as equivalent for the Accredited Partner
College (Falmouth University).
Additional requirements and regulations apply to candidates registered for the
degrees of Doctor of Medicine (MD) and Master of Surgery (MS) and for
Professional Doctorates Doctor of Education (EdD), Doctorate of Business
Administration (DBA) and Doctor of Public Administration (DPA). Separate additional
regulations apply for Doctorate of Clinical Psychology (DClinPsy).
1.
Introduction
1.1.
The Plymouth University Research Degree Regulations and Code of
Practice have been prepared to help define the obligatory aspects of
research degree registration. This document is intended to provide
research degree candidates and supervisors with guidance through
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Regulations and Code of Practice
1.2.
1.3.
1.4.
1.5.
1.6.
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the research degree registration process and to assist Research
Degree Management Units to establish good management practice.
These regulations are to be used in conjunction with the approved
University-wide quality procedures which have been approved by
Graduate Sub-Committee
(http://www.plymouth.ac.uk/researchdegreehandbook). Appendices to
the University procedures take account of the differences between
subject areas. The document provides guidance on the processes for
research. A copy of these procedures will be made available at
enrolment by the DTC Administrator.
Research degree administration will be referred to in this document as
the Research Degree Management Unit. In all cases final responsibility
rests with the relevant Deputy Vice Chancellor in consultation with the
Dean of Faculty.
Definition of a research student – all research degree candidates are
referred to as research students and are recorded in the University
student records system (UNIT-e).
A Research Degree Coordinator is nominated at School or Faculty
level. This person is responsible for dissemination of information
between the School and the Graduate Sub-Committee. This person
will normally be the main contact for research degree matters at school
level and will act as an advisor to applicants, candidates and
supervisors.
The DTC Director in conjunction with subject area Research Student
Coordinators are responsible for over-arching research student
matters and will ensure that the DTC meets the Minimum Benchmarks
for research students, that all research students are allocated to a
research group and that the research group will provide a seminar
series, journal clubs and access to appropriate facilities. This
personnel will be responsible overall for admission and selection
procedures, supervision team nomination, quality assurance, annual
monitoring and upgrade from MPhil to PhD or from ResM/MD to PhD
(if appropriate) and examinations. Subject specific skills training will
also be the responsibility of the DTC and where appropriate developed
collaboratively across DTCs. Researcher Development training
delivery will be the responsibility of the Graduate School. The DTC
nominees are also responsible for ensuring that the DTC is meeting
requisite standards and will provide Graduate Sub-Committee with
appropriate reports and updates.
General Conditions
2.1.
Research students can be registered for the degree of:
a. ResM - Research Masters
A 2 year full-time (including 6 months writing up period) or 3 year
part-time (including a 1 year writing up period) research degree.
According to individual needs, further credits up to a total
maximum of 120 credits is permitted within a ResM (can include
up to 30 credits of level 6 modules). These optional credits are
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Regulations and Code of Practice
determined by the supervisor and candidate depending on
previous experience and the needs of the proposed research
project element.
The compulsory 40 credits must include a Research Methods
module, appropriate to the discipline, and taught Credits applicable
to the subject area. Optional credits include taught modules as
applicable to the student and topic chosen. These modules may
be chosen from a variety of existing taught masters programmes
and can span disciplines and Schools as appropriate and as
agreed between Schools.
Each student is assigned a Director of Studies and an additional
supervisor. A project thesis must be submitted, with the
examination of the dissertation by thesis and viva voce
examination, as with other research degrees.
A Research Masters award will only be made on satisfactory
completion of the thesis and designated modules. Similar to other
research degrees, detailed attainment in the modules will be
provided in the Diploma Supplement appendix. If the student fails
to submit a dissertation thesis, or fails to pass the thesis
examination, but has completed and passed the appropriate
Masters-level credits, the compensatory award of Postgraduate
Certificate (PGCert) or Postgraduate Diploma (PGDip) may be
awarded.
There are progression possibilities for ResM candidates, who can
exceptionally apply to continue direct to the 2nd year of a PhD
upon the successful completion of the Confirmation of Route
process. However if a student transfers and continues to PhD then
the ResM degree will not be awarded.
b. MPhil - Master of Philosophy direct
A 3 year full-time or 4 year part-time research degree (including a
1 year writing up period).
c. MPhil/PhD - Master of Philosophy with transfer possibility to
Doctor of Philosophy
A 4 year full-time (including a 1 year writing up period) or 6 year
part-time (including 2 years writing up period) research degree if
successfully transferred to PhD.
d. PhD – Doctor of Philosophy
A 4 year full-time (including a 1 year writing up period) or 6 year
part-time (including 2 years writing up period) research degree
once successfully transferred to PhD.
e. Integrated PhD
A 5 year full-time (including a 1 year writing up period) or 7 year
part-time (including 2 years writing up period) research degree if
successfully transferred to PhD, including an integrated set of
taught M-level modules.
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Regulations and Code of Practice
2014 Edition
MS – Master of Surgery
A 2 year full-time or 3 year part-time research degree at masters
level available with the Peninsula School of Medicine and Dentistry
for qualified doctors registered with the GMC and working in a
clinical setting within the U.K.
There are progression possibilities for MS candidates, who can
exceptionally apply to continue direct to the 2nd year of a PhD
upon the successful completion of the Confirmation of Route
process. However if a student transfers and continues to PhD then
the MS degree will not be awarded.
g. MD – Doctor of Medicine
A 2 year full-time or 3 year part-time research degree at doctoral
level available with the Peninsula School of Medicine and Dentistry
for qualified doctors registered with the GMC and working in a
clinical setting within the U.K.
There are progression possibilities for MD candidates, who can
exceptionally apply to continue direct to the 2nd year of a PhD
upon the successful completion of the Confirmation of Route
process. However if a student transfers and continues to PhD then
the MD degree will not be awarded.
h. Professional Doctorate (EdD, DPA, DBA, DClinPsy).
A 4 to 7 year part-time (not available as full-time) research degree
(including an initial set of taught D-level modules depending on the
programme). Note: separate additional Regulations are approved
for Professional Doctorates.
i. By Published Work.
A presentation for a MPhil or PhD on the basis of previously
published works. Note: separate Regulations and guidelines exist
for this type of degree.
Candidates whose work forms part of a wider group project may
register for a research degree but each registered project must be
distinguishable for the purposes of assessment.
All research degrees will be assessed by means of a written thesis and
an oral defence (viva voce examination).
Candidates may undertake a programme of research in which creative
work forms a significant part of the intellectual enquiry (practicebased). In such cases, assessment may include a presentation in
addition to the other elements of assessment (thesis and viva voce
examination).
Candidates may undertake a programme of research of which the
principal focus is the preparation of a scholarly edition of a text or
texts, musical or choreographical work or other original artefacts. In
such cases, assessment may include a presentation in addition to the
other elements of assessment (thesis and viva voce examination).
f.
2.2.
2.3.
2.4.
2.5.
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Regulations and Code of Practice
2.6.
All research students shall undertake a programme of related studies,
where it is deemed necessary, in order to gain competence in
appropriate research methods and related knowledge of the subject of
the thesis.
2.7.
For the ResM programme this comprises a minimum of 40 credits up
to a maximum of 120 credits of M-level modules (may include up to 30
credits of stage 3 level modules). The taught components will normally
include formal research methods training.
2.8.
Each Professional Doctorate will have a separate requirement
regarding the taught components for the programme.
2.9.
Research degree students in full-time mode are entitled to 8 weeks
leave per year, including public holidays. Part-time students are
entitled to pro-rata number of days based on 0.5 FTE for part-time
students and 0.1 FTE for writing up students. Leave will be taken at
times agreed with the Supervisory Team.
2.10. Full-time students are expected to devote at least 37 hours per week
to their studies. Part-time students are expected to devote at least 18.5
hours per week to their studies. Writing up students are expected to
devote at least 3.7 hour per week to their studies.
2.11. Overseas students on a Tier 4 General Student visa must fulfil and
adhere to the regulations given by the U.K. Visa and Immigration
(U.K.VI) office. Students are also obliged to comply with their
responsibilities with the University as a Tier 4 General Student visaholder, as outlined in the relevant web pages of the International
Students Advisory Service (ISAS) https://www.plymouth.ac.uk/student-life/services/internationalstudents/international-student-advisory-service.
3.
Starting a Research Degree Programme
Enrolment and registration
3.1.
Research students (including staff registered for a research degree)
are required to enrol on their first day and again at the beginning of
every academic year whilst registered for a research degree. Research
students should contact the relevant DTC Administrator for details of
when and where enrolment will take place. On-line enrolment is
possible for most research students.
3.2.
At enrolment candidates will normally be required to:
a. produce a copy of their offer letter (initial enrolment only),
b. produce confirmation of award or sponsorship arrangements or
confirmation that payment for fees has been made (the Finance
department or the Graduate School should be contacted if any
queries arise concerning the payment of tuition fees),
c. for overseas students based at Plymouth (i.e.not registered for
research carried out mainly overseas), have their relevant
documents scanned by the International Students Advisory
Service (ISAS), and
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Regulations and Code of Practice
3.3.
3.4.
3.5.
3.6.
2014 Edition
d. complete and sign an enrolment form or complete on-line
enrolment process.
Candidates will normally receive at enrolment:
a. a copy of the enrolment form which they have completed and
signed (if enrolled manually),
b. an ID card (initial enrolment) - this card enables candidates to
access the library, Students’ Union, and access certain buildings
and offices and sports facilities (after payment of a joining fee
where appropriate), and
c. a “Welcome pack” and Research Degrees Handbook (initial
enrolment only). A copy of the University-wide quality procedures
and/or handbooks may also be provided.
If on-line enrolment is available, the above documentation which is not
available via the University web pages, will be given at an induction
session or be sent by post (especially for students carrying out
research mainly based overseas).
Initial enrolment and subsequent annual enrolment defines the
registration for the research degree and:
a. enables the administrators to complete the full registration of the
research student into the University student records system (UNITe),
b. clarifies and formalises the research programme, the supervisory
team, research training, mode of study and qualification aim, and
c. provides a base on which the candidate, supervisors and
Research Degree Management Unit can focus.
Assessment of the project plan (project approval stage) for a research
degree candidate will include:
a. consideration of the academic content and quality of the
programme of work to ensure that it is set at the appropriate level
and achievable within the limits of the research programme,
b. review of the project by an expert commentator outwith the
supervisory team,
c. consideration of the appropriate level of study of the candidate and
programme and thus the route of study and qualification aim,
d. consideration of the availability of financial support, project
resources, research training, supervision for the duration of the
programme,
e. consideration of the extent of the relationship with any
collaborating establishment and the protection of intellectual
property rights and copyright of the final thesis,
f. consideration of the candidates qualifications/experience and
potential,
g. assurance that the candidate and research degree programme
meet the requirements of the University Research Degree
Regulations,
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3.7.
3.8.
3.9.
Regulations and Code of Practice
h. ethical considerations and/or approval if appropriate and not
considered before, and
i. completing form RDC.1 (for those students not on Professional
Doctorates).
A candidate must re-enrol at the beginning of each academic year for
the duration of the programme of study. No candidate is entitled to reenrol unless the prescribed fees for the academic year or any other
outstanding academic debt with the University have been paid. For
those students on the EdD programme starting after January 2014,
their “academic year” runs from January to December each year, with
re-enrolment before January or as soon as possible afterwards.
Any student who has not enrolled for the current academic year
without a formal suspension approved by the Graduate SubCommittee will have their registration automatically terminated and
their status will be recorded as Withdrawn. The University will
endeavour to contact the research student by registered post to
determine if the student intends to enrol prior to terminating their
registration. It is imperative that the University is informed (via the DTC
Administrator if necessary) of any change in address.
The normal maximum and minimum periods of supervised study and
registration for a research degree shall be:
Registration type
ResM
MS
MPhil
PhD
(via transfer from
MPhil registration)
(integrated PhD add
12/24 months FT/PT)
M.O.A.
Minimum
Maximum
full-time
part-time
full-time
part-time
full-time
part-time
12 months
24 months
12 months
24 months
12 months
24 months
24 months
36 months
24 months
36 months
36 months
48 months
full-time
24 months
48 months
part-time
36 months
72 months
full-time
12 months
24 months
part-time
24 months
36 months
For Professional Doctorates, please refer to the appropriate additional
set of regulations and procedures for each degree.
3.10. The period of registration for a research degree ends when the thesis
is submitted for examination.
3.11. For those students registered for an Integrated PhD, the above
deadlines will be increased by one year for full-time students and by
two for part-time students.
3.12. The Graduate Sub-Committee may permit a candidate who has started
a programme of study and research at another university to complete it
as a registered candidate of the Plymouth University. The Graduate
MD
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Regulations and Code of Practice
2014 Edition
School shall determine the minimum and maximum periods of study
and research on a case by case basis in consultation with the research
students previous establishment.
3.13. The first 6 months of registration for full-time students and 12 months
for part-time students are considered a probationary period and
registration may be terminated by the University if insufficient progress
is being made by the research student.
Induction
3.14. The local Research Degree Management Unit will provide essential
and useful information for all new candidates undertaking a research
degree. The process for imparting this information will vary according
to the local Research Degree Management procedures but will
normally be provided through an induction
workshop/event/programme.
3.15. A University-wide Induction will be available twice a year for all
research degree candidates.
3.16. Professional Doctorate students attend an induction for their
programme and may not be required to attend the University-wide
induction for research degree students.
3.17. Induction aims to ensure that:
a. candidates are informed of the local research degree management
structure, staff and procedures, the formal and informal channels
of communication at local and University level,
b. candidates new to the Plymouth University are introduced to the
library, computing, sports/social facilities, etc. and that
international candidates are introduced to the additional
facilities/services available to them,
c. candidates are made aware of their responsibilities as a research
degree candidate and the responsibilities of their supervisors to
them,
d. candidates are informed of facilities and resources available to
them within the DTC, including availability and access to
photocopiers, computers, etc.,
e. candidates are introduced to the extent of research training
available and/or required,
f. candidates are informed of University health and safety
procedures - where appropriate specific local guidelines will be
provided and candidates may be required to sign a statement to
confirm that they have read and agree to these procedures,
g. candidates are informed of the University ethics policy particularly
in those areas where research involves human and/or animal
participants,
h. candidates are informed of the University policy on ownership of
copyright of theses and intellectual property rights arising from
their work,
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Regulations and Code of Practice
i.
candidates are made fully aware of the timescale for completion of
their research degree including the normal minimum and
maximum periods for completion, the liability of payment of fees
and the structure of amount of fees to be paid,
j. candidates are informed of the process and schedule for
registration or confirmation of route, transfer from MPhil to PhD (if
appropriate) or from ResM/MD/MS to PhD (if appropriate) and
examination arrangements, including the deadlines for local
Graduate Sub-Committees and the University Graduate SubCommittee meetings for consideration of these matters,
k. candidates are informed of normal expectations for progress and
informed of the six (if full-time student) or twelve month (if parttime student) probationary period and the annual monitoring
process,
l. candidate are informed of the local systems and procedures in
place to monitor the use of the electronic system for research
degree student (PGR e-log) to view and record their progress, and
their responsibilities,
m. candidates are informed of pastoral support and counselling
services available and are encouraged to make use of the support
network for personal and work related matters when needed, and
n. candidates are aware of opportunities to voice views and input into
local decision making - a research candidate representative is
normally elected annually at local level and local associations
established.
Extension to registration
3.18. In exceptional cases with extenuating circumstances, and on the
recommendation of the supervisors, a candidate’s registration may be
extended by the Graduate Sub-Committee. Extensions may be
granted for not more than twelve months at any one time. The
registration of a candidate for whom the maximum period of
registration has ended, and for whom no further extension has been
granted, may be deemed by the Graduate Sub-Committee to have
lapsed and will be automatically withdrawn. The period by which the
registration of a student will be extended (including extensions and
suspensions granted) will not normally exceed a total of 24 months.
Suspension of registration
3.19. Where the candidate can demonstrate good reason for not making
progress with the research programme, the registration may be
suspended for a period not exceeding twelve months. In exceptional
circumstances such suspension of registration may be renewed.
Periods of suspension shall not count towards the maximum period of
registration and if the period of suspension exceeds 4 months and 1
day then appropriate fees will be suspended and refunded.
Outstanding fees or fees held in credit will be reallocated when the
student returns from suspension. The period by which the registration
of a student will be extended (including extensions and suspensions
granted) will not normally exceed a total of 24 months.
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2014 Edition
3.20. During the period of suspension the University has the right to suspend
access to laboratories, office or other workspace and to the library
since the student may no longer be covered by the University’s
insurance. However, the University will normally attempt to keep
access to the library and on-line accounts live during the period of
suspension. During the period of suspension the supervisors are not
obliged to engage with the student in pursuit of their project progress
since no fees are being paid.
Fee paying structure
3.21. The amount of fee payable depends on the mode of attendance (fulltime or part-time). The table below shows the level of fees for each
case (please note that the years in italics are only granted after formal
approval by Graduate Sub-Committee of extensions to registration
periods).
3.22. From 2008/09 entry, fees for Overseas and Channel Islands research
students are fixed for the duration of the normal registration at the level
pertaining at the commencement of their programme of study.
Extension years are excluded from this and are charged at the level of
the appropriate year of enrolment.
3.23. Students will need approval from the Graduate Sub-Committee for
their 5th year if FT PhD, 4th for MPhil; 3rd for ResM/MS/MD) and 7th and
8th if PT PhD, 5th and 6th for MPhil; 4th for ResM/MS/MD). Similarly,
Graduate Sub-Committee will need to approve any extensions to
registrations for Professional Doctorates beyond the normal period of
registration (refer to each Professional Doctorate information for the
length of each programme).
3.24. Further information on standard tuition fees can be found on the
extranet at https://www.plymouth.ac.uk/study/fees/tuition-fees.
Mode of
attendance
Full-time
Part-time
PhD
MPhil
ResM
MD/MS
3 years FT
fees
Plus 1 year of
writing up
(reduced fee)
Extension:
Appropriate
½ FT fees
4 years PT
fees
Plus 2 years of
writing up
(reduced fee)
Extension:
Appropriate
½ PT fees
2 years FT
fees
Plus 1 year of
writing up
(reduced fee)
Extension:
Appropriate
½ FT fees
3 years PT
fees
Plus 1 year of
writing up
(reduced fee)
Extension:
Appropriate
½ PT fees
1.5 years FT
fees
Plus 0.5 years
of writing up
(reduced fee)
Extension:
Appropriate
½ FT fees
2 years PT
fees
Plus 1 year of
writing up
(reduced fee)
Extension:
Appropriate
½ PT fees
2 years FT
fees
No writing up
stage
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Extension:
Appropriate
½ FT fees
3 years PT
fees
No writing up
stage
Extension:
Appropriate
½ PT fees
2014 Edition
Mode of
attendance
Part-time
Regulations and Code of Practice
EdD*
DBA*
DPA*
5 years of PT
fees
2 years of taught
phase
2 years of taught
phase
2 years of writing
up (reduced fee)
3 years of
research phase
2 years of research
phase
Extension:
Appropriate
½ PT fees
Extension:
Appropriate
½ PT fees
Extension:
Appropriate
½ PT fees
* Repeat years will be charged additionally at the pro-rata per the
number of modules taken
4.
The Candidate/Supervisor Relationship
4.1.
It is recommended that the candidate and supervisor work together to
maintain and complete the electronic Research Student Logbook
(PGReLog).
4.2.
All candidates shall have at least two supervisors and not normally
more than three supervisors. One of the supervisors shall be
nominated as the Director of Studies. The Director of Studies shall be
a member of the academic staff of Plymouth University or an approved
member of staff at a Node. Wherever possible the Director of Studies
shall have had previous successful U.K./CNAA supervision and
experience (i.e. to completion) of the degree for which the candidate is
registered. Where this is not possible, then the 2nd supervisor must
have previous successful supervision and experience of the degree for
which the candidate is registered and will undertake to act as Mentor
to the Director of Studies. Inexperienced Directors of Studies will have
to fulfil all other criteria as experienced staff. All inexperienced
supervisors are expected to attend a Good Supervisory Practice
Session either prior to, or within, the first year of supervision of their
first student at Plymouth.
4.3.
An Emeritus Professor can act as a member of the supervisory team
but not normally as Director of Studies.
4.4.
The Graduate Sub-Committee may appoint a replacement or
additional supervisor at any time if it deems this to be necessary and
shall do so if there is a sole University-based supervisor who ceases to
be a member of staff of the University or is on extended leave of
absence, study leave or sabbatical.
4.5.
If the Director of Studies ceases employment as an academic member
of Staff of the University or as an approved member of staff at a Node,
the 2nd supervisor will immediately move to acting Director of Studies
until a replacement supervisory team has been formally approved. The
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4.6.
4.7.
4.8.
2014 Edition
student will remain registered in the same programme during this
period of time.
The Local Research Degree Management unit will ensure that
supervisors:
a. are appropriately experienced and qualified for supervision and the
Director of Studies has supervised to completion at the relevant
level or a second supervisor has been appointed as Mentor in
cases of Director of Studies with no previous supervisory
experience to completion,
b. the maximum total number of students supervised by a single
supervisor will normally be 8 FTE research students at any one
time (The role of Director of studies will be equivalent to 1.0 FTE,
the role of second supervisor will be equivalent to 0.3 FTE and the
role of third (or further) supervisor will be equivalent to 0.1 FTE).
c. are able to provide supervision in the subject area and at the
appropriate level,
d. are not registered for a research degree themselves, and
e. have undertaken appropriate supervisory training by no later than
the end of the first year of their first student’s registration.
The supervisors shall be responsible for the supervision of the design
and progress of the candidate’s research project and for providing
academic advice to the candidate. They shall report to the Head of
School/DTC Director, or nominee, on the candidate’s work and
progress annually.
The responsibilities of the Director of Studies of a candidate are as
follows:
a. to provide the leadership of the supervisory team and to provide
support to the research student on a regular and frequent basis,
b. to impart knowledge in the area of the candidate's research
programme and/or the theoretical approach to be taken,
c. to develop an effective working relationship with the candidate and
to provide an encouraging and supportive environment,
d. to maintain regular contact through meetings and to co-ordinate
meetings with the other supervisors as well as being responsive to
students' needs outside of agreed meeting times,
e. to keep a record of supervisory meetings,
f. to introduce the candidate to external publications, professional
bodies, contacts and sources in the related field
g. to involve the research student in the activities of a research
group and its workshops and conferences,
h. to assist with the planning of the research programme, advise on
literature sources, investigative and analytical techniques and
arrange a programme of advanced training in generic and specific
aspects of the research programme,
i. to provide assistance with a project structure, work plan and
milestones, in conjunction with the candidate and other
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4.9.
Regulations and Code of Practice
supervisors, advise the candidate on timing for the various stages
of work and ensure the thesis is submitted within the required time
period,
j. assist the research student in the self-assessment of the personal
and professional skills,
k. to request written or creative work regularly and arrange for oral
presentations of work and provide constructive criticism and
feedback,
l. to ensure that the research student is aware of what is expected of
them and to ensure that they are informed as to whether they are
attaining the standard expected, and where progress is not of the
required standard to provide support and assistance to improve
performance,
m. to ensure that the intellectual property rights and copyright of all
written works are protected and that any period of confidentiality of
the thesis is requested as soon as possible after registration and
prior to making the examination arrangements,
n. to advise on University regulations and deadlines,
o. where appropriate links with a collaborating organisation exist,
encourage the development of a mutually beneficial relationship
between the organisation and the research student,
p. to provide close and regular monitoring and to ensure that annual
monitoring reports are completed by the student and supervision
team,
q. propose an appropriate examination team,
r. organise and arrange for the oral examination, liaising with all
examiners, chairperson where appointed and candidate as
required, and
s. contact examiners if pre-viva report forms have not been received
by the Graduate School within 10 working days of viva voce
examination date.
The responsibilities of the second supervisor and any other
supervisors are as follows:
a. to act as a Mentor in the case of Director of Studies who have not
had previous supervisory experienced to completion,
b. to become acting Director of Studies if the Director of Studies
ceases employment as an academic staff of the University or as
an approved member of staff at a Node until a replacement
supervisory team is formally approved,
c. to provide additional, often specialist, guidance, support and
feedback,
d. to maintain an awareness of the status of the candidate's progress
and to assist in the progression of the candidate where possible,
e. to attend regular meetings with the candidate and Director of
Studies, and
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Regulations and Code of Practice
2014 Edition
f.
to provide primary support on a temporary basis, in the absence of
the Director of Studies.
4.10. The responsibilities of the research student are as follows:
a. to develop an effective working relationship with the Director of
Studies and other supervisors,
b. to pursue the research project with a positive commitment, taking
full advantage of the resources and facilities offered by the DTC
and where appropriate the collaborating establishment,
c. to maintain record of formal supervisory sessions and log any
formal meetings and associated documents in the on-line
Research Students electronic logbook (PGReLog),
d. to submit written or creative work to the supervisory team
regularly, as required, and provide oral presentations of work in
seminars,
e. to agree a schedule of regular meetings with the supervisors (for
candidates conducting their research mainly based overseas, it is
compulsory to spend at least 6 weeks a year at Plymouth
University),
f. to take the initiative in raising problems and difficulties,
g. to undertake a personal training needs analysis and ensure that
the supervisors are aware of areas where particular training may
be necessary,
h. to maintain progress in accordance with the schedule agreed with
the Director of Studies and other supervisors,
i. to engage in self-assessment of personal and professional skills
development and appropriate skills training,
j. to provide an annual report of progress,
k. to agree with the Director of Studies the amount of time devoted to
the research and the timing of vacations and leave of absence,
l. to make the ultimate decision to submit the thesis (the Director of
Studies' advice should be taken as to when the thesis is ready for
submission but this cannot be taken as a guarantee that the
examiners will find the thesis acceptable for the award of a higher
degree),
m. to be responsible for the preparation of the thesis, binding and
submission and any corrections required post-examination and to
ensure that the content is complete, accurate and the research
students’ own work,
n. to enrol every year and to ensure that all tuition fees are paid, as
appropriate.
4.11. In consultation with the supervisors, the DTC may recommend to the
Graduate Sub-Committee that a candidate’s registration should be
terminated if they are dissatisfied with the candidate’s progress. In
such case, the candidate shall be given notice of such dissatisfaction
in writing at least one month in advance of making the
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Regulations and Code of Practice
recommendation (see below for procedure for “termination of
registration due to lack of progress or lack of contact”).
5.
Confirmation of Route
5.1.
The confirmation of route process should normally be made, via the
supervisors, not earlier than one year after initial registration.
5.2.
Transfer (if appropriate) will only take place upon satisfactory
completion of the confirmation of route process. Professional
Doctorate students are not required to undertake a process of transfer
from MPhil to PhD
5.3.
Transfer is possible between the following levels of the research
degrees (ResM to PhD, MD to PhD, MS to PhD and MPhil to PhD).
The transfer (if appropriate and approved) is retrospective to the date
of initial registration.
5.4.
Confirmation of route should normally be finalised within 18 months of
initial registration if full-time and no later than by the end of the 18
months for ResM students and end of the 2nd year for full-time
MPhil/MD/MS candidates.
5.5.
For part-time students, confirmation of route should normally be
finalised within 24 months of initial registration and no later than by the
end of the 24 months for ResM students and end of the 3rd year for
part-time MPhil/MD/MS candidates.
5.6.
For research students on an Integrated PhD this process should occur
adding 12 months if full-time or 24 months if part-time.
5.7.
The confirmation of route is considered to be:
a. a useful step on the path to the final award,
b. a gauge of the current level of progress and a check that the
programme is on target, and
c. a useful stage in the write up of the final thesis.
5.8.
The confirmation of route process involves:
a. production of a transfer report by the candidate (guideline is 6,000
words) detailing:

a literature review and description of methods or 2 or 3 draft
chapters or draft research paper,

a statement of progress against the project Gantt chart

the plan for a higher level of study differentiating between the
ResM, MD,MS or MPhil and the PhD level of work (as
appropriate). The originality and contribution to knowledge that
the project will make will also be required,
b. the specific and generic research training undertaken so far and
details of any planned future training,
c. assessment and consideration of the confirmation of route will
involve a DTC-based panel to review the reports and confirm the
route (refer to DTC quality procedures for detailed information on
the process at each DTC). The review will contain:
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Regulations and Code of Practice

2014 Edition
a report from the Director of Studies on the progress of the
student.

completion of the confirmation of route form (RDC.2/2A) by
the candidate, supervisors and expert commentator, duly
signed.
5.9.
if the confirmation of route is not successful, students will have the
opportunity to re-submit and be re-assessed within 3 months of the
first assessment.
5.10. DTCs will provide Graduate Sub-Committee with a summary of the
confirmation of route approved at DTC level in readiness for each
meeting of Graduate Sub-Committee.
5.11. In exceptional extenuating circumstances a research student may be
permitted to submit their thesis for a lower award than that for which
they are registered if it is clear that they will not be able to complete a
satisfactory thesis at the higher award aim.
6.
Research Training
6.1.
The Research Training Policy is as follows:
a. to provide high quality and professional training in research,
tailored to the individual needs and aspirations of each research
candidate,
b. to supply this training partly through the individual attention of a
well-trained, professional, Director of Studies and supervisory
team, who will meet regularly with the candidate at agreed times
and for set periods in an atmosphere of support, encouragement,
constructive criticism and debate,
c. to provide access to a selection of professional level short training
courses, comprising both specialist and non-specialist topics,
d. to support the student and supervisor(s) by the actions of a
Research Degree Management Unit at DTC level, as appropriate,
which will be responsible for regular monitoring and peer review of
candidate progress,
e. to require the Research Degree Management Unit to assess an
annual candidate progress report or other submitted work - this
may be carried out by such means as interview with an internal
'commentator',
f. to provide adequate opportunity for regular oral presentations by
research degree candidates of research results to groups of
contemporaries and peers within the University,
g. to expect all research degree candidates in the local unit and as
many staff as possible to attend and participate in such
presentations,
h. to support attendance and delivery of research results by
candidates at appropriate external venues e.g. via conference
attendance, and
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Regulations and Code of Practice
i.
6.2.
6.3.
7.
to support and encourage the operation of a Postgraduate Society
for discussion and representation of student views, for mutual
support and development of extra-mural activities.
Due to the diverse research training requirements within areas of the
University, Research Degree Management Units will identify the
particular local research training process within their procedures.
The level and requirements for individual training of candidates will be
detailed prior to enrolment and will be scrutinised at local level.
Monitoring of Progress
7.1.
It is the responsibility of the Research Degree Management Unit to
monitor progress of research students towards their award aim.
Assessment of progress will be identified in the DTC procedures and
will normally include:
a. student led research seminars during which oral presentations of
work are made to other research students and staff,
b. written reports,
c. interviews, in some cases, may be a part of the monitoring
process,
d. an annual written report of progress, and
e. a completed annual monitoring form.
7.2.
It is recognised good practice that a third party (independent from the
supervisory team) will review the student’s progress, normally following
an interview.
7.3.
The monitoring process will:
a. give candidates the opportunity to demonstrate progression,
b. where appropriate, deal with matters in a sensitive manner,
c. provide the opportunity for candidates and supervisors to report
separately on progress, and
d. where necessary assist the candidate and supervision team to
bring the programme back on schedule at the earliest opportunity.
7.4.
The PGReLog shall assist in this process.
8.
Failure to Progress
Lack of academic progress
8.1.
Concerns about progress should be identified as early as possible in
order that corrective measures can be taken. Concerns about progress
will normally include failure to meet deadlines, failure to produce work
or provide work of a suitable standard or failure to attend supervisory
meetings.
8.2.
A research student will initially receive a verbal warning from the
Director of Studies if there is concern on progress. A written warning
will follow a verbal warning if progress continues to give cause for
concern.
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Regulations and Code of Practice
8.3.
8.4.
8.5.
8.6.
8.7.
8.8.
2014 Edition
A research degree candidate may not be required to withdraw from the
University without having first received a formal written warning about
their academic progress and without having had the opportunity to
improve performance within a reasonable time period. The definition of
a 'reasonable period' will depend on the circumstances of each case,
but normally a period of months rather than weeks might be suggested
as a minimum.
A Director of Studies or Supervisor who has concerns about the
progress of a research degree candidate should:
a. make those concerns known to the candidate,
b. give the candidate the opportunity to discuss any difficulties they
may have encountered in their research or outside the project
environment which may be affecting performance and progress,
c. agree with the candidate a written plan for improvement of
progress with appropriate milestones, targets and review dates,
copies of which should be retained by the Director of Studies and
candidate,
d. ensure that the second Supervisor(s), the Research Degree
Coordinator and Management Unit are kept informed and if
necessary become involved, and
e. formally review progress as identified in the plan. Annual
monitoring is one opportunity for consideration of progress;
however review is not limited to these occasions.
Supervisors may not be able to help with all the problems that a
candidate may encounter. The Research Degree Coordinator, DTC
Director, the Graduate School, and other staff, mentioned below in
section 13, are also available to provide support and advice for
candidates as required.
If, following review, academic performance has not improved to an
appropriate level:
a. the Director of Studies, together with the rest of the supervisory
team, should inform the candidate in writing of their concerns, the
agreed course of action to address those concerns and the period
identified for improvement; and
b. the Research Degree Coordinator and Management Group and
the DTC Director should be kept informed and if necessary
become involved.
If, after the period identified, the Director of Studies, the rest of the
supervisory team and Research Degree Coordinator, in consultation
with the Research Degree Management Unit and DTC Director, remain
concerned at the academic progress of the candidate, they are
advised to consult the Graduate School.
The University reserves the right to terminate the registration of a
research student in the case of persistent unacceptable progress.
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Regulations and Code of Practice
Loss of contact with a candidate
8.9.
The principles set out above will also apply if a candidate fails to keep
in contact with their supervisory team and submit tangible evidence of
progress with the research project.
8.10. The supervisory team, Research Degree Coordinator, DTC Director
and Management Group should make every effort to:
a. contact the candidate,
b. identify any obstacles to progress,
c. agree a plan for improvement, and
d. continue to monitor and review the plan.
8.11. Following failure to re-establish contact the candidate should be issued
with a formal written warning that registration will be terminated unless
the candidate re-establishes contact with his/her Director of Studies
and the other supervisors within an appropriate period. If the candidate
fails to respond the termination procedure should follow.
Termination of registration
8.12. The candidate will receive a formal letter from the University, normally
from the Graduate School, requiring him/her to withdraw if it is agreed
that the University has:
a. discharged all its responsibilities towards the candidate, and
b. the candidate has received adequate and formal warning of
inadequate progress, and
c. has not improved and shows no likelihood of improvement.
8.13. If a candidate fails to enrol for the current academic year without a
formal agreed suspension they will have their registration automatically
terminated.
9.
Amendments to Registration
9.1.
Changes may occur during the period of registration which may need
consideration, approval or notification at DTC and/or University level.
In all cases a request for an amendment to the registration should be
made in writing by the Director of Studies to the Local Research
Degree Management Unit. The request may be approved at local level
in the case of changes in the supervisory team or may be forwarded to
the Graduate School for consideration by the Graduate SubCommittee using the RDC.1A or RDC.1B forms as appropriate. The
most common amendments affecting registration are detailed below.
9.2.
Change in mode of study.
The maximum period of study varies according to the mode of study
and the award aim, the total remaining registration period and tuition
fee status will therefore be affected by any such changes. Requests for
changes must be approved by the local Research Degree
Management Unit and Graduate Sub-Committee.
Changes in mode of study once the student has entered the writing up
period will not be permitted.
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Regulations and Code of Practice
9.3.
9.4.
9.5.
9.6.
9.7.
9.8.
2014 Edition
Change to the source of funding.
Candidates and supervisors often assume that information concerning
a change in source of funds is automatically forwarded to the
appropriate staff. Notification of any such changes should be reported
to the DTC Administrator and the Graduate School.
Change of supervision.
Changes to supervision usually occur as a result of the change in
direction of the project or departure of a supervisor from the University.
A request for the removal/addition of a supervisor may affect the total
supervision experience of the team, or the role of supervisors within
the team.
Any changes of supervision will require approval by the local Research
Degree Management Unit and reporting to Graduate Sub-Committee.
Suspension of registration.
Suspensions of registration are usually requested as a result of illness,
maternity leave, severe personal problems or commitments unrelated
to the research project, but not for trivial matters. A maximum period of
12 months may be requested at any one time. Normally a maximum
total of 24 months suspension during the whole registration period will
be tolerated. The suspension period will not count towards the total
registration period. Approval by the local Research Degree
Management Unit and by Graduate Sub-Committee will be required.
The University is obliged to follow the guidelines issued by U.K. Visas
and Immigration (U.K.VI) when dealing with request for suspensions
from overseas students under a Tier 4 General Student visa.
Extension of registration.
Requests for a period of extension are considered to be exceptions to
the norm. The request for an extension of registration may not exceed
a period of 12 months at any one time. The extension will count
towards the total registration period. Approval by the local Research
Degrees Management Unit and the University Graduate SubCommittee will be required. See also “11.27. Extensions to
resubmission of thesis”.
Transfer to a degree programme other than that for which a candidate
is registered.
Exceptionally a candidate may decide to submit for an award lower
than the one for which they are registered. Approval by the local
Research Degrees Management Unit will be required.
Transfer from one institution to another.
A candidate who has started a programme of study may, due to a
change in circumstances, e.g. redeployment of their supervisor,
request to transfer registration to another institution. If an external
candidate wishes to transfer into Plymouth University, the institution
where the candidate is transferring from must provide written
confirmation that they are willing to accept the transfer of the
registration for the candidate. The University has the right to refuse the
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transfer of a student to another institution and in case of refusal an
explanation will be proffered by the University.
The University is obliged to follow the guidelines issued by U.K. Visas
and Immigration (U.K.VI) when dealing with transfers between
institutions for overseas students under a Tier 4 General Student visa.
9.9.
Withdrawal of registration.
If a candidate decides to withdraw from their research degree
registration then written confirmation including the reason for
withdrawal and date of departure should be notified in writing to the
local Research Degree Management Unit, usually via the Director of
Studies. A copy of the withdrawal must be forwarded to the Graduate
School as soon as possible to ensure that the tuition fees, enrolment
and registration are cancelled. The matter will be reported to the
Graduate Sub-Committee.
The University is obliged to follow the guidelines issued by U.K. Visas
and Immigration (U.K.VI) when dealing with withdrawals of overseas
students under a Tier 4 General Student visa.
9.10. Change to thesis title.
The final title of thesis is required on the examination arrangements
form RDC.3. Permission for a change to the title after approval of the
examination arrangements should be sought in writing to the Graduate
Sub-Committee by the Director of Studies. If the examination team has
requested the change in the thesis title following examination then no
further approval is required.
10.
Presentation and Submission of the Thesis
10.1. The thesis is the work of the research student and they must decide
when they consider the thesis is ready for submission, although it is
advisable to heed the advice of the supervisory team. The research
student will be required to submit a signed copy of the declaration of
submission form (RDC3.S) with the thesis to certify that they are
submitting the thesis.
10.2. Candidates with disabilities are advised to contact Disability ASSIST
(DAS), https://www.plymouth.ac.uk/student-life/services/learninggateway/disability-and-dyslexia, to discuss whether special procedures
for the oral defence of the thesis are appropriate. Normally an
independent Chair will be appointed to the examination team in these
cases to ensure that any special procedures are adhered to.
10.3. Work submitted for a research degree at Plymouth University may not
form part of any other degree either at the University or at another
establishment. Contravention of this condition will mean that the
degree will be revoked by the University.
10.4. Exceptions to this rule apply when a student is studying as part of a
collaborative arrangement with another institution, where a joint degree
may have been agreed as part of the agreement made between the
higher education institutions.
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10.5. A collection of published papers is not a suitable type of submission for
this type of degree. This type of submission is considered to be a
different type of degree (by published work) and would follow separate
regulations.
10.6. Theses may be submitted for examination in a temporary bound form
such as ‘perfect binding’ or comb binding. A loose leaf copy in a ring
folder will not be accepted. A thesis submitted in a temporary bound
form must be in its final form in all respects save the final binding.
10.7. The thesis should be written in English. Any exception to this condition
must be sought in writing to the Graduate Sub-Committee.
10.8. Published papers during the research period should be included as an
appendix at the end of the thesis but will not form the main body of the
thesis.
10.9. The requirements and guidelines for the presentation of the thesis are
detailed in Appendix 1.
10.10. Copies of the thesis should be submitted to the Graduate School office
at least one month prior to the viva voce examination. One copy of the
thesis should be submitted for each examiner. If a Chair has been
appointed he/she should also receive a copy of the thesis.
10.11. When a candidate wishes the thesis to remain confidential for a period
of time after completion, application for approval of this should
normally be made by the time of the submission of the thesis. The
period approved will not normally exceed two years.
10.12. The main text of the thesis shall normally be below the following limits
(excluding ancillary data, appendices, bibliography, etc.):
a. for ResM.: 25,000 words
b. MS/MD: 60,000 words
c. for MPhil: 40,000 words
d. for PhD: 80,000 words
e. Professional Doctorates project thesis may vary in word limit
depending on the subject area. The prescribed word count must
not exceed that for a PhD (80,000 words)
Where the thesis is accompanied by material other than that written in
the hard copy or the research involves creative writing or the
preparation of a scholarly edition, then the written thesis should
normally be shorter than the above limits.
In the case of practice-based research degrees, application may be
made to the Graduate Sub-Committee for the Plymouth University
regulations regarding the traditional form and format of the thesis to be
waived in whole or part. Any such request must be made by the
Director of Studies before commencement of the final year of study
and must also meet with the written approval of the appointed
examiners. The anticipated form of the final submission should have
been outlined in a statement at the end of year one and should be
approved by the DTC, which is then submitted to the Graduate SubCommittee for final approval.
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10.13.
10.14.
10.15.
10.16.
Regulations and Code of Practice
In agreeing to such a request the Graduate Sub-Committee shall
ensure that the proposed thesis form and format:
a. will be legible to the candidate, examiners, peer community and
intelligent lay reader;
b. will include a satisfactory record of the ‘practice’ element;
f. will serve to contextualise the practice intellectually;
g. will clearly demonstrate its contribution to knowledge;
h. will be of a scale and form which can be reasonably stored in a
library;
i. will be archive stable for a reasonable length of time;
j. makes clear what is being examined.
It is the responsibility of the Director of Studies and/or candidate to
satisfy the Graduate Sub-Committee in these respects. Where the
research involves Creative and Performing Arts (e.g. practical research
in Arts and Design, Creative Writing or Performance) it will be
accompanied by a written element of the thesis which helps to
substantiate the research outcome as a contribution to knowledge. The
thesis will include a written text which situates the creative and
performing arts within an appropriate intellectual context.
Research students should include a statement at the front of their
thesis with the word count. The thesis will not be accepted by the
Graduate School unless the word count is mentioned and is below the
above limits. The only exception to this rule would be if the greater
word count has been agreed with all the examiners prior to
submission.
The thesis and appropriate paperwork will be sent out from the
Graduate School office as soon as possible after submission. The
external examiner’s copy will be sent out by first class recorded
delivery.
If a chair has been appointed, they will receive:
a. a copy of the thesis with a letter confirming that the Director of
Studies will be making the arrangements for the viva voce
examination,
b. a link to the Research Degrees Handbook, which includes an
extract of the Framework for Higher Education Qualifications
(FHEQ) for doctoral and master examinations and the “Roles and
responsibilities of Chairs at viva voce examinations of research
degrees”,
c. a copy of the pre-viva report (form RDC.4P) for their information
only, and
d. the examiners’ report form RDC.4 to be completed jointly by the
examiners and the Chair (or in the case of a resubmission report
form RDC.4R). It is the Chair’s responsibility to arrange for the
post-viva report to be filled in and sent to the Graduate School as
soon as possible after the examination.
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10.17. The external examiner(s) will receive:
a. a copy of the thesis with a letter confirming that the Director of
Studies will be making the arrangements for the viva voce
examination,
b. a link to the Research Degrees Handbook, which includes the
Plymouth University ”Notes for guidance for research degree
examiners” and an extract of the Framework for Higher Education
Qualifications (FHEQ) for doctoral and master examinations and
the “Roles and responsibilities of Chairs at viva voce examinations
of research degrees”,
c. a copy of the pre-viva report (form RDC.4P), and
d. expenses and honorarium claim forms and details of the limits for
travel and expenses claims.
10.18. The internal examiner will receive:
a. a copy of the thesis with a memorandum confirming that the
Director of Studies will be making the arrangements for the viva
voce examination,
b. a link to the Research Degrees Handbook, which includes an
extract of the Framework for Higher Education Qualifications
(FHEQ) for doctoral and master examinations and the “Roles and
responsibilities of Chairs at viva voce examinations of research
degrees”,
c. a copy of the pre-viva report (form RDC.4P), and
d. the examiner's report form RDC.4 to be completed jointly (or in the
case of a resubmission report form RDC.4R), where a Chair has
not been appointed (see 10.15); it is the responsibility of the
internal examiner to arrange for the post-viva report to be filled in
and sent to the Graduate School as soon as possible after the
examination.
10.19. The Director of Studies will receive a memorandum:
a. confirming that copies of the thesis have been sent to the
examiners and chairperson if appropriate,
b. indicating any amendments required to the presentation of the
thesis which have been identified by the Graduate School, and
c. asking to arrange for the viva voce examination, liaising with
candidate and Disability Assist Services (DAS) where appropriate
for any special needs.
10.20. The candidate will receive a letter:
a. confirming that copies of the thesis have been sent to the
examiners,
b. indicating any amendments required to the presentation of the
thesis which have been identified by the Graduate School,
c. mentioning that the Director of Studies will make the necessary
arrangements for the viva voce examination,
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d. asking to contact Disability Assist Services (DAS) if appropriate,
and
e. outlining the general procedures with regard to the exam and the
possible outcomes.
11.
Examination and Outcome of Examination
11.1. The stages of consideration of the examination arrangements will
involve:
a. discussion between the supervisors and possibly other members
of the local Research Degree Management Unit to consider the
most appropriate examination team,
b. submission of the examination arrangements (form RDC.3) and a
brief CV of the proposed External Examiner(s) to a local Research
Degree Management Unit meeting - if the Director of Studies and
supervisors are agreed on a proposed examination team and are
satisfied that the criteria specified within the Research Degree
Regulations for Professional Doctorates, ResM, MS, MD, MPhil or
PhD have been met, then the Director of Studies will complete
form RDC.3 and forward this to the local Research Degree
Management Unit for approval,
c. submission to the University Graduate Sub-Committee - following
approval at local level form RDC.3 will be signed by the DTC
Director, Head of School or Research Degree Coordinator and
forwarded to the Graduate School for formal consideration by the
University Graduate Sub-Committee,
d. formal consideration by University Graduate Sub-Committee via its
PGR External Examiners Sub-Committee - examination
arrangements should be forwarded in plenty of time before the
student submits his/her thesis for examination. Examination
arrangements will not normally be considered outside PGR EE
Sub-Committee meetings (normally once per month); and
e. confirmation by the Graduate School on behalf of the University
Graduate Sub-Committee of the outcome of consideration.
Confirmation of all matters will be sent to the DTC Administrator
who will ensure that an appropriate process is in place at local
level to communicate these matters to candidates, supervisors and
other appropriate staff.
11.2. The selection of external examiners is subject to the University’s
general requirements. Details of any past or current association with
the University, its staff or students must be declared at the time the
examination arrangements are considered.
11.3. The regulations relating to the examination of Professional Doctorates,
ResM, MS, MD, MPhil or PhD require that:
a. two examiners are appointed for each research student. One of
these examiners will be external to the University (the external
examiner) and the other will be internal and independent of the
research student and their project (the internal examiner) - if the
candidate is a member of academic staff of the University (other
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than a Research Assistant), then two external examiners and one
chairperson are required,
b. the research student must not have been formally advised or
supervised or had any close association with the examiners
although the internal examiner may have acted as the independent
assessor for the student for annual review or transfer,
c. the thesis is defended in an oral examination (the viva voce
examination), normally held in the U.K.
11.4. When due to exceptional circumstances a viva voce examination is to
be conducted via videoconferencing, prior approval by the Head of the
Graduate School is required. This option should only be considered as
the last resort when all other possibilities have been exhausted. The
videoconference facility must be a secure link with adequate
bandwidth to ensure an uninterrupted oral examination, normally a
Skype link will not be acceptable.
11.5. The following criteria are used in selecting the examination team for
research degrees (ResM, MS, MD, Professional Doctorates, MPhil and
PhD) examinations:
a. the internal examiner:

should not be registered for a research degree,

should not have supervised the candidate or had any formal
advisory or supervisory relationship with the candidate (other
than having acted as the independent assessor for the student
for annual review or transfer),

should have appropriate knowledge in the field and/or
examining experience - the internal examiner is not required to
have previously examined but is requested to attend the
University’s Internal Examiners Briefing Session before the
oral examination takes place if he/she has no previous
examining experienced at the level of the examination for
Plymouth University, and
 should be present at the viva voce examination.
b. the external examiner(s):

should not be registered for a research degree,

should have experience of examining U.K. research degree
candidates at the same level or higher,

an external examiner will not normally have held any
appointment with the University, or one of the former
institutions from which the University has developed, during
the period in which the candidate has been registered for the
degree,

should not have supervised the candidate or had any formal
advisory or supervisory relationship with the candidate and
should be independent of the supervision team and/or any
collaborating establishment, and should not be an imminent
employer of the research student, and
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c.
 should be present at the viva voce examination.
the chairperson:

should not be registered for a research degree,

should have experience of examining U.K. research degree
candidates at the same level, preferably at Plymouth
University,

should not have supervised the candidate or had any formal
advisory or supervisory relationship with the candidate and
should be independent of the supervision team and/or any
collaborating establishment, and should not be an imminent
employer of the research student, and
 should be present at the viva voce examination.
11.6. A chairperson is appointed in exceptional circumstances, such as:

video conferenced viva voce examination,

equality issues (where a Chair is appointed then attention
should be paid to an appropriate gender balance within the
examining team)

extenuating circumstances including disability,

issue(s) raised by either the internal or external examiner in
the pre-viva report,

examination team has only recently met the minimum
requirements of examining experience,

11.7.
11.8.
11.9.
11.10.
11.11.
external examiner is an experienced researcher from industry
but with little or no examining experience.
The examination team must have at least experience in a total of 3
U.K. examinations between the examiners at the level of the
examination, with the External Examiner having at least 1 of these
(subject to 11.8).
Where an overseas or industrial external examiner is nominated with
no previous experience of examining a U.K. research degree, reasons
for this nomination need to be submitted by the Director of Studies and
a Chair will be also nominated to the examination team.
For the examination of Professional Doctorates, previous experience
of examining Professional Doctorates will be considered as
appropriate for the approval of the examining panel. All other
regulations regarding the appointment of the examining team for
ResM/MS/MD/MPhil/PhD will apply equally to Professional Doctorates.
External examiners must be actively involved in research and with
substantial/significant research experience in the subject. Recently
retired distinguished researchers or Emeritus professors are
acceptable as external examiners but must commit to being available
and contactable until the examination is complete.
The Director of Studies is expected to make the following
arrangements:
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a.
11.12.
11.13.
11.14.
11.15.
arrange the viva voce examination date, time and location with the
examiners, the research student and the Graduate School either
just prior to or soon after the thesis is received by the examiners,
b. notify the Graduate School or the DTC Administrator of the date,
time and venue for the oral examination,
c. check whether the candidate wishes any of the supervisors to be
present, as observers, at the examination, and pass this
information to the internal examiner or the chair when one has
been appointed,
d. ensure that accommodation and travel for the external examiner(s)
has/have been booked, usually via the local Research
Management Unit, and
e. book an appropriate quiet room for the duration of the examination
(normally 3 or 4 hours) taking into account any requirements from
Disability Assist Services (DAS) where appropriate and arrange for
refreshments during this period.
Supervisors may, with the consent of the candidate, attend the oral
examination as observers. They may not participate in the discussion
unless invited by the examiners. Exceptionally the examiners may
request a discussion in private with the supervisor prior to making their
final decision. The supervisor must withdraw with the research student
prior to the deliberations of the examiners on the outcome of the
examination.
If none of the supervisors are present during the viva voce examination
then they should leave instructions as to how to be contacted by the
examiners in case they are needed and normally they are required to
accompany the research student to hear the decision of the examiners
at the end of the examination.
Before the viva voce examination all examiners (not the Chair) shall
submit a pre-viva report (RDC.4P) to the Graduate School. These
reports are kept confidential from the student and the supervisory team
and will be exchanged between examiners (and copied to the Chair)
by Graduate School staff. If reports are not submitted on time it will be
the Director of Studies’s responsibility to ensure examiners forward
their reports prior to the viva voce examination. A copy of the pre-viva
reports will be held in the research students file and is confidential
throughout the duration of the examination, even if requested by the
candidate under the Data Protection Act.
After the viva voce examination the examiners shall, where they are in
agreement, jointly report on the thesis and the viva voce examination
and return report form RDC.4 (or RDC.4R in the case of a
resubmission) to the Graduate School as soon as possible after the
examination (normally within a day or two and not more than 2 weeks).
Unless a Chair has been appointed (see 10.15) it is the responsibility
of the internal examiner to arrange for the post-viva report to be filled
in and sent to the Graduate School. Where the examiners are not in
agreement, separate reports and recommendations shall be submitted
to the University.
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11.16. Following the examination the examiners can make one of the
following recommendations:
a. pass with no corrections: the degree be awarded, or
b. pass with minor corrections: the degree be awarded subject to
minor corrections being made to the final copy of the thesis to the
satisfaction of one or all of the examiners by 3 months from the
date of the formal notification of the outcome of the examination,
or
c. pass with major corrections: the degree be awarded subject to the
major corrections and/or amendments being made to the final
copy of the thesis to the satisfaction of one or all of the examiners
by 9 months from the date of the formal notification of the outcome
of the examination, or
d. defer – resubmission allowed: the candidate is permitted to
resubmit for the degree (with detailed advice) and be re-examined
on one further occasion with or without further research by 12
months from the date of the formal notification of the outcome of
the examination, or
e. compensatory award: the degree for which the research student is
examined is not to be awarded but a lower level degree (MPhil,
ResM, PgCert or PgDip) or in the case of Professional Doctorates
and where the individual regulations for each Professional
Doctorate allow, an appropriate master level degree be awarded
subject to the presentation of the thesis being amended to the
satisfaction of the examiners by 3 months from the date of the
formal notification of the outcome of the examination, or
f. fail: the degree not to be awarded and the candidate not be
permitted to be re-examined.
11.17. Where the examiners’ recommendations are not unanimous separate
report forms will be issued for the decisions to be reported separately.
The University:
a. will normally appoint an additional external examiner to arbitrate
and shall consider the reports of all examiners before reaching a
decision; or
b. may exceptionally accept the recommendation of the external
examiner(s).
11.18. The recommendation of the examiners will be confirmed to the
candidate informally verbally after the viva voce examination by the
examination team.
11.19. Formal written confirmation of the outcome of the examination,
including the corrections/amendments required if not already provided
by the examination team, will be issued to the candidate by the
Graduate School on receipt of the report form(s).
11.20. If the degree is awarded without any corrections the candidate will be
required to submit:
a. an electronic copy of the thesis in the University electronic
repository (the candidate should also supply the Director of
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Studies and any collaborating establishments with a hardcopy if
requested to do so but this is for the candidate to arrange). The
expectation is for the candidate to submit this electronic copy of
the thesis within 60 days of the official notification of the outcome.
The award will not be given until the electronic copy of the thesis has
been submitted to the University repository and the submission been
approved by the Graduate School and any outstanding academic
debts to the University have been paid.
11.21. If the degree is awarded subject to corrections/amendments the
corrections must be made and submitted to the internal examiner
and/or the external examiner(s) by the relevant date depending on the
outcome. Following approval of the corrections by the examiner(s) the
Graduate School will require:
a. confirmation in writing from the internal and/or external
examiner(s) that corrections have been made to their satisfaction;
if the examiner(s) is/are not satisfied with the corrections made,
they may recommend the award of a lower degree or that the
submission has failed. Failure to submit by the required date will
normally result in failure of the award. Any request for an
extension to the due date of the corrections must be made in
writing to the Graduate School (supported by the supervisory team
and the faculty Research Management team) who will obtain the
approval of the examiners before deciding on the period of
extension.
b. an electronic copy of the thesis in the University electronic
repository (the candidate should also supply the Director of
Studies and any collaborating establishments with a hardcopy if
requested to do so but this is for the candidate to arrange). The
expectation is for the candidate to submit this electronic copy of
the thesis within 60 days of the official notification of the outcome.
Corrections are to be approved by the internal and/or the external
examiner(s) and not the chairperson. The chairperson may approve
corrections only if these are of typographical nature.
The award will not be given until the electronic copy of the thesis has
been submitted to the University repository and the submission been
approved by the Graduate School and any outstanding academic
debts to the University have been paid.
11.22. If a candidate is permitted to resubmit for re-examination for the award:
a. the research student may be required to carry out further research
and will require a further viva voce examination - details of these
requirements must be submitted by the examination team to the
Graduate School who will then forward them to the research
student,
b. the research student must submit the revised thesis to the
Graduate School office by not later than 12 months from the formal
notification of the outcome of the examination. Failure to submit by
the required date will normally result in failure of the award. Any
request for an extension to the due date of the corrections must be
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made in writing to the Graduate School (supported by the
supervisory team and the faculty Research Management team)
who will obtain the approval of the examiners before deciding on
the period of extension.
c. the resubmitted thesis will be sent out to the examiners, in the
same manner as the first submission. The internal examiner will be
responsible for arranging the joint completion of the relevant report
form (RDC.4R) unless a chairperson had been appointed (see
paragraph 10.15 above).
Possible outcomes after a resubmission are:
a. pass with no corrections: the degree to be awarded, or
b. pass with minor corrections: the degree be awarded subject to
minor corrections being made to the final copy of the thesis to the
satisfaction of one or all of the examiners by 3 months from the
date of the formal notification of the outcome of the examination,
or
c. compensatory award: the degree for which the research student is
examined is not to be awarded but a lower level degree (MPhil,
ResM, PgCert or PgDip) or in the case of Professional Doctorates
and where the individual regulations for each Professional
Doctorate allow, an appropriate master level degree be awarded
subject to the presentation of the thesis being amended to the
satisfaction of the examiners by 3 months from the date of the
formal notification of the outcome of the examination, or
d. fail: the degree not to be awarded and the candidate not be
permitted to be re-examined.
In the case of a re-submission where all the examiners agree on
outcome “a. pass with no corrections the degree to be awarded”, the
viva voce examination may be waived. The examination team is asked
to contact the Graduate School if this is the case.
11.23. If a research student is awarded the degree of ResM, MPhil or MS
following a PhD or an MD examination. The Graduate School will
require:
a. confirmation in writing from the internal and/or external examiner
that corrections, if required, have been made to their satisfaction,
as indicated on the report form. Failure to submit by the required
date will normally result in failure of the award. Any request for an
extension to the due date of the corrections must be made in
writing to the Graduate School (supported by the supervisory team
and the faculty Research Management team) who will obtain the
approval of the examiners before deciding on the period of
extension,
b. all references to PhD or MD will need to be changed to ResM,
MPhil or MS as appropriate,
c. an electronic copy of the thesis in the University electronic
repository (the candidate should also supply the Director of
Studies and any collaborating establishments with a hardcopy if
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11.24.
11.25.
11.26.
11.27.
12.
2014 Edition
requested to do so but this is for the candidate to arrange). The
expectation is for the candidate to submit this electronic copy of
the thesis within 60 days of the official notification of the outcome.
The award will not be given until the electronic copy of the thesis has
been submitted to the University repository and the submission been
approved by the Graduate School and any outstanding academic
debts to the University have been paid.
If a research student is not awarded a ResM, then they can be
awarded either a PgCert or PgDip if they have satisfactorily completed
either 60 or 120 M-level credits respectively.
Following receipt and approval of the electronic thesis submission a
research student will receive a congratulations letter from the ViceChancellor (for PhD, MD or Professional Doctorates excluding
DClinPsy) or the Dean of Research & Innovation (MPhil, ResM, MS)
and will be invited to the next appropriate award ceremony. The
degree certificate and the diploma supplement will normally be issued
at the ceremony, or in advance if requested.
A research student who fails to submit a corrected or revised thesis by
the date set by the examiners shall normally be regarded as having
failed the examination and the recommendations of the examiners
shall lapse.
Request for extensions to resubmission of thesis should be made in
advance of the deadline and with the support of the supervisors. The
Graduate School will liaise with the examiners with regard to the
approval or not for these extensions.
Posthumous Degree and Aegrotat Award
12.1. The degree of ResM, MPhil or PhD or the relevant professional
Doctorate may be awarded posthumously on the basis of a thesis
completed by a candidate which is ready for submission for
examination.
12.2. The University may award an aegrotat degree to students who will be
unable to complete the oral examination in the usual way due to
irreversible health problems.
12.3. In both cases the Graduate Sub-Committee shall seek evidence that
the candidate would have been likely to have been successful had the
oral examination taken place.
12.4. The degree can also be considered if the research was at its final
stages. The supervisors will need to compile a thesis in readiness for
examination.
12.5. A request from the supervisors to the Graduate Sub-Committee to
proceed with the examination will be required. A brief report explaining
that the thesis and work carried out by the candidate are of sufficient
quality for a ResM, a MPhil, a PhD or the relevant Professional
Doctorate award should accompany the request.
12.6. If the research work was not concluded by the research student the
supervisors should include reasons as to why the work should be
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2014 Edition
12.7.
12.8.
12.9.
12.10.
12.11.
13.
Regulations and Code of Practice
considered for examination, taking into account how far the research
had advanced and the extent of understanding of the topic by the
student, etc.
In the case of an aegrotat degree, the request should be made after all
other avenues have been investigated and exhausted when
appropriate, such as suspensions, change to part-time, termination at
MPhil, etc.
Two examiners, at least one of them external, should assess the thesis
and report independently on whether the degree should be awarded or
whether a lower award is more appropriate e.g. a ResM or an MPhil
instead of a PhD. If the student was an academic or technical member
of staff (other than a Research Assistant) of the University two external
examiners will normally be required. Other requirements for examiners
as in normal research degree regulations need also be fulfilled.
Outcomes of the examination should be as for normal degrees
excluding the possibility of corrections/amendments and resubmission.
Other forms of research outcomes may be included and/or considered
in the examination, such as conference presentations, papers, annual
reports, etc.
The electronic copy of the thesis will mention it was submitted in partial
fulfilment of a posthumous/aegrotat award and would need to be
submitted to the University repository as detailed above.
Problems and Queries
13.1. Candidates will be expected to work independently and on a one-toone basis with their Director of Studies and other supervisors for the
majority of the registration period. Consideration and sensitivity shown
on the part of the candidate and supervisors, particularly initially, will
help to forge rewarding and productive relationships.
13.2. At some period(s) during their registration research students may face
practical, professional or personal difficulties which may affect their
work. If problems arise, whether related to health, finances, academic
progress, work or personal matters research students should be
encouraged to deal with these problems, or highlight them to staff as
soon as possible, so that delays or disruptions to work will be
sympathetically received. In most cases a research student’s Director
of Studies will be the most appropriate person to approach.
13.3. The staff detailed below are experienced in research degree matters
and will be familiar with most of the problems that research students
face. If feel unable to discuss a problem with their Director of Studies,
or it is inappropriate, then one of the following members of staff may
be available to provide practical, confidential advice and support:
a. second or third supervisor,
b. Research Degree Coordinator,
c. DTC Director
d. DTC Administrator,
e. Head of School,
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Regulations and Code of Practice
f.
g.
h.
i.
2014 Edition
Dean of Faculty,
the Graduate School, and
Chaplain.
In the case of Professional Doctorates there will also be a
Programme Manager for each Professional Doctorate programme.
14.
Complaints Procedure for Research Degree Candidates
14.1. Students should follow the Complaints procedure
(https://www.plymouth.ac.uk/student-life/your-studies/essentialinformation/complaints-appeals-and-conduct).
14.2. Minor complaints should normally be dealt with informally by
consultation between the candidate and staff concerned (e.g. the
Director of Studies, second Supervisor(s), Research Coordinator, DTC
Director, Head of School, Dean) – Stage 1.
14.3. If the response is not to the satisfaction of the research student, he/she
must then write to the University Complaints Office using the
appropriate form stating the nature of their complaint and indicating the
deficiencies in the response received.
14.4. If, once all internal processes and procedures have been exhausted,
the complaint is still not resolved to the satisfaction of the research
student, the complainant will have the right to take their complaint to
the Office of the Independent Adjudicator (OIA).
15.
Appeals Against Academic Decisions
15.1. Where, as a result of a recommendation of the examiners, a candidate
has not been awarded the degree for which he/she was registered and
has not been permitted to submit a revised thesis for the same degree,
the candidate may appeal to the University in accordance with the
Appeals Procedure.
Please follow the link below or contact the Graduate School for further
details (https://www.plymouth.ac.uk/student-life/your-studies/essentialinformation/complaints-appeals-and-conduct).
APPROVED BY THE ACADEMIC BOARD ON 23 JUNE 1993
and with minor subsequent amendments on 13 August 1993,
19 June 1996, 26 June 2002, June 2003, August 2004, July
2007 and December 2014. Amendments to include ResM
approved by Academic Board on 8 July 2009. Amendments to
the outcomes of the examination approved by Academic Board
(Chair’s action) in 2011.
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PLYMOUTH UNIVERSITY
MINIMUM BENCHMARK FACILITIES
FOR
POSTGRADUATE RESEARCH STUDENTS
1.
Need for minimum benchmarking
Postgraduate research (PGR) students are those students undertaking Master of
Philosophy - MPhil, Doctor of Philosophy - PhD, Research Masters – ResM,
Professional Doctorate degrees (Doctorate in Education - EdD, Doctorate in Public
Administration - DPA, Doctorate in Business Administration – DBA, Doctorate in
Clinical Psychology – DClinPsy), Doctor of Medicine – MD or Master of Surgery MS. They are governed by the Procedures, Processes and Regulations regarding
postgraduate research students which are based upon the QAA Quality Code for
Higher Education for postgraduate research students (section B11 of the Code).
PGR students can be enrolled in full-time (FT) or part-time (PT) mode and may be
based at a campus of Plymouth University or a site remote from the University
(distance mode). The subject of study and discipline in which the PGR
resides/studies places differing needs on the hosting Doctoral Training Centre
(DTC). Despite these differing needs all PGR students have minimum requirements
which it is Plymouth University’s duty through the Graduate School and the
DTCs/Schools/Faculties/Nodes to provide in order for the student to meet the
expectations of the University to complete their studies within the required time
period.
2.
All students
All PGR students will be provided with:
 A suitably qualified supervision team
 Access to the Plymouth University’s computer system which will supply email,
intranet, extranet and web access. This access will be available at remote
locations via web access and will include access to the electronic library
resources
 Library access and an entitlement to a defined quantity of Inter-library loans
 Access to a suitable programme of generic and subject specific skills workshops
 Access to at least one subject relevant taught postgraduate module run either by
the Plymouth University, a Partner Institution or an approved 3rd party
 Access to the Graduate School facilities
 Access to the Student Counselling services
 Access to the Disability Assist services
 Access to the Staff Catering facilities on Plymouth University campuses
 Access to the Staff Recreation Services on Plymouth University campuses
 Access to the Students’ Union
 Access to Nursery provision
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Minimum benchmarks
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3.
Full-time students resident at a campus of Plymouth University
All FT PGR students based at Plymouth University will normally be provided with:
 A work-space with the following minimum attributes:
o A desk or workbench for sole use (sometimes both are appropriate)
o A lockable space for personal items
o A computer
o Access to printing facilities
 Access to appropriate facilities to conduct their research
 Access to photocopying facilities with a defined limit or agreed method of
recharge
4.
Part-time students resident at a campus of Plymouth University
All PT PGR students based at a campus of Plymouth University will normally be
provided with:
 A work-space with the following minimum attributes:
o A desk or workbench which may be shared or “hot-desked”
o A lockable space for personal items
o Shared access to a computer
o Access to printing facilities
 Access to appropriate facilities to conduct their research
 Access to photocopying
5.
Distance students
Distance PGRs include those students based at home and those based at
cooperating institutions remote from Plymouth University or one of its Partner
Institutions.
Where PGRs are based either FT or PT at a cooperating institution then it is
expected that the Institution will provide facilities in line with those outlined above.
6.
Students in writing-up mode
When PGRs enter the writing-up mode of study (i.e. yr 4 for FT PhD, yr 5/6 for PT
PhD, 4th semester for ResM FT, yr 3 for PT ResM) their hosting
DTC/School/Faculty/Node may require them to move location and switch to a hotdesking situation. This will be determined according to the availability of space.
Plymouth University is not obliged to provide any facilities beyond the minimum for
all PGRs outlined above for students who are home-based. All students however can
expect good access to their supervisory team by email (and webcam where
possible), fax or telephone and a number of face-to-face meetings at pre-determined
intervals. Access to appropriate research facilities by distance students where
appropriate, must be determined prior to enrolment on the research programme.
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Minimum benchmarks
7.
Library entitlements
Additional library services are available for part-time students, students living more
than 25 miles from the University and for students with disabilities. The service
includes a copy service from items in stock, postal loans; help with reservations and
renewals, and collection of material by proxy.
The SCONUL Access (http://www.access.sconul.ac.uk/index_html) scheme provides
borrowing privileges at 170 higher education libraries for most academic staff,
postgraduate research students registered for a PhD, MPhil or similar qualification,
part-time, distance learning and placement students and full-time postgraduates.
The SCONUL Access scheme does not normally include access to IT or electronic
library services.
APPROVED BY GRADUATE COMMITTEE
December 2005 and November 2012
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PLYMOUTH UNIVERSITY
NOTES OF GUIDANCE FOR EXAMINERS
OF THE DEGREES
RESEARCH MASTERS,
MASTER OF PHILOSOPHY,
MASTER OF SURGERY
DOCTOR OF PHILOSOPHY,
DOCTOR OF MEDICINE,
AND PROFESSIONAL DOCTORATES
1.
Appointment of Examiners
1.1.
Candidates are usually examined by one internal and one external
examiner. If the candidate is a member of academic or technical staff
of the University (other than a Research Assistant), then two external
examiners and one chairperson are required.
1.2.
Requirements of examiners:
a. no examiner, unless there are exceptional circumstances, will
have acted as supervisor or advisor to the candidate (other than
having acted as the independent assessor for the student for
annual review or transfer in the case of internal examiners),
b. an external examiner will not normally have held any appointment
with the University, or one of the former institutions from which the
University has developed, during the period in which the candidate
has been registered for the degree, nor had any formal
supervisory or advisory relationship with the candidate,
c. at least one external examiner must have substantial experience
of examining U.K. Research Degree candidates. In an examination
for PhD at least one examiner must have experience of PhD
examining,
d. no person who is registered for a research degree may act as an
examiner, and
e. the selection of external examiners is subject to the University’s
general requirements. Details of any past or current association
with the University, its staff or students must be declared at the
time the examination arrangements are considered.
2.
The Role of the Examiners
2.1.
Examiners are nominated by the School/Faculty/DTC to serve as a full
member of the examination team. This means that, prior to the viva
voce examination, the Examiners must:
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Notes of guidance for examiners
2.2.
2014 Edition
a. read the thesis carefully;
b. identify shortcomings in the thesis/research;
c. prepare appropriate questions with which to challenge the
candidate; and
d. identify any minor errors/corrections needed to improve the final
version of the thesis prior to submission. This list should be given
to the candidate at the close of the examination.
As an examiner, it is inappropriate to discuss the thesis with either the
candidate or supervisor(s) prior to the examination.
3.
Thesis
3.1.
The degree of MPhil should include the results of an appropriate
research programme or a critical analysis of existing knowledge in a
defined field.
3.2.
The degree of PhD should include a distinct contribution to the current
knowledge of the subject. The thesis should show systematic study
and independent, critical and original powers and should be capable of
publication in whole or in part.
3.3.
Work submitted for another degree may not form part of the
submission for the research degree.
3.4.
The thesis must be presented in English. The presentation should be
of a high standard in line with the Plymouth University “Research
Degrees Handbook – Regulations and Code of Practice”. Any
amendments required to the presentation of the thesis will be detailed
to the candidate by the Graduate School for inclusion in the final
electronic version of the thesis.
3.5.
Sufficient copies, for distribution to each examiner (and chairperson
where appropriate) must be submitted to the Graduate School office in
a “perfect” temporary or permanently bound form.
4.
Preparation for the Examination
4.1.
It is normal that the Director of Studies should organise the time,
location and arrangements for the examination in conjunction with both
examiners and the candidate. The candidate should let his/her Director
of Studies know whether they wish any of his/her supervisors present
at the viva voce examination. The candidate’s wishes should be
passed on to the Internal Examiner.
4.2.
The examination should be held at Plymouth University whenever
possible, but is sometimes necessary to meet elsewhere. If this is the
case, the Graduate School should be informed. This is also important if
the examination is to be conducted by videoconferencing, where prior
approval by the Head of the Graduate School is required. This option
should only be considered as the last resort when all other possibilities
have been exhausted.
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Notes of guidance for examiners
4.3.
It is important that the viva voce examination:
a. be held in an appropriate location;
b. be held in a room that is quiet and not subject to telephone or
other interruptions;
c. takes into account any special requirements for students with
special needs;
d. uses a table large enough to accommodate the required number of
theses, papers, diagrams, etc.;
e. has drinking water available and (possibly), coffee or tea on
request;
f. has sufficient time allowed - (the Director of Studies should ask the
examiners in advance about the anticipated duration of the
examination) although candidates should not have to face an
excessively long examination without good reason; and
g. has available a waiting area for the candidate and supervisor to
use that is not within hearing range of the examination room.
In most viva voce examinations, the External Examiner will act as
Chair, but the Internal Examiner must be prepared to take on this role
if required.
4.4.
5.
Procedure
5.1.
The Graduate School will distribute copies of the thesis to each
examiner (and chairperson where appropriate) as soon as possible on
receipt, with the Research Degree Handbook, Notes of Guidance for
MPhil and PhD Examiners, Pre-viva Report Form (RDC.4P),
Recommendation of Examiners Form (RDC.4/4R) and expenses claim
and honorarium forms, as appropriate.
5.2.
The Director of Studies will make arrangements for the viva voce
examination and keep the internal and external examiners, the
chairperson, the candidate and the Graduate School informed of the
date and schedule for the examination.
5.3.
It is the responsibility of the Graduate School to determine and pay
fees and expenses to the external examiners.
5.4.
Before the viva voce examination (10 working days in advance) each
examiner shall submit a pre-viva report (RDC.4P) to the Graduate
School. These reports will be exchanged between examiners and a
copy given to the chairperson. If reports are not submitted on time it
will be the Director of Studies’ responsibility to ensure the report is
forwarded prior to the viva voce examination. Copies of the pre-viva
reports are to be held by the Graduate School. Under the Data
Protection Act students do have the right to request to see examiners’
comments. If examiners wish their comments to remain confidential,
they should advise the University when they submit them and explain
the issues which give rise to their concern.
5.5.
After the completion of the examination, either:
a. the examiners may tell the candidate direct that he/she has
passed and that they require a few minutes to complete the
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Notes of guidance for examiners
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paperwork (at which point the candidate and supervisor(s) must
withdraw); or
b. the examiners ask that the candidate and supervisor(s) withdraw
while they reach a decision and complete the paperwork. In
exceptional circumstances, the supervisor(s) may be asked to
withdraw and the candidate asked further questions (where it is
thought that student/supervisor relationships may have affected
the thesis/research). There may be a situation where the
candidate is asked to withdraw and the supervisor(s) are asked
further questions. This is usually the case if it appears that the
student has failed to heed advice given and, as a result, has
encountered unnecessary difficulties.
5.6.
Once the decision is agreed, the candidate and supervisor(s) should
be invited back into the examination room for a statement of the
outcome. If this is not 'good news' then it must be given with as much
tact and sensitivity as possible.
5.7.
The Recommendation of Examiners Form (RDC.4 or RDC.4R in the
case of a resubmission), which is sent to the internal examiner or the
chairperson when one has been appointed, should be completed as
soon as possible after the viva voce examination, in consultation with
the external examiner(s). It is the chair’s responsibility to arrange for
the post-viva report to be filled in and sent to the Graduate School if a
chairperson has been appointed. The form should be completed and
returned to the Graduate School office as soon as possible after the
examination so that appropriate action can be taken.
5.8.
The RDC.4/4R form is quite clear in the response required to many of
the questions but the examiners must pay particular attention to the
recommendations. The normal maximum time for a re-submission
(2.4) is within one year from the date of the official notification of the
outcome to the candidate. Corrections (2.2 and 2.3) may be submitted
within a restricted time frame (please refer to the RDC.4 form – or
RDC.4R in the case of resubmissions – for details).
5.9.
In the case of recommendation 2.2 and 2.3 it must be agreed as to
whom will check the final version of the thesis (Internal Examiner or
External Examiner or - rarely - both) and that the candidate is told
precisely the nature of the corrections to be made.
5.10. In the case of recommendation 2.4 the candidate must be absolutely
clear as to the nature of the work to be done. As well as section 3
being completed, Examiners may give the candidate additional sheets,
but when this is done, copies of these should be given to the Graduate
School with the RDC.4. Candidates must have clear instructions, as
they will be judged solely on their response to those instructions at the
time of resubmission. This is to ensure that Examiners do not ask for
further modifications at that time.
5.11. In the case of recommendation 2.5, the response and requirements
are as detailed in 2.4 above.
5.12. In the case of recommendation 2.6, section 3 and any supporting
papers must be very clear about the grounds for rejection of the thesis.
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Notes of guidance for examiners
5.13. In the event of an outcome not being agreed by the Internal and
External Examiner, each must present a separate report and form to
the Graduate School as soon as possible. If this scenario is possible,
the Internal Examiner must not agree with the External Examiner as a
matter of course; both are of equal status in the examination. In the
event of a disagreement, the candidate should be told and it should be
explained to him/her that individual reports are being lodged with The
Graduate School. If there is a disagreement, it is always possible to
telephone The Graduate School and, if available, the Head of The
Graduate School or the DTC Director may be able to come to the
examination room or give advice by telephone.
5.14. In some cases there may be three examiners. It is preferable that all
agree on the outcome. But if there is a disagreement, voting, in order
to obtain a decision, is not recommended, as it will undoubtedly leave
the 'loser' feeling aggrieved. However, if that is the only way to resolve
the issue then it may be a solution. In the case of total deadlock, the
Examiners may request that another Examiner be appointed, in which
case, all three must prepare reports and submit these to the Graduate
School.
5.15. If there are any doubts about the completion of the RDC.4 (or RDC.4R
in the case of resubmissions), please contact The Graduate School.
5.16. It must be remembered that the main grounds for appeal against a
result are related to the conduct of the examination. This must always
be fair and if the Internal Examiner feels that something is going
wrong, then he/she should ask the candidate and supervisor(s) to
leave the room temporarily while the issue is raised with the
external(s).
6.
Oral Examination
6.1.
The candidate is examined viva voce, normally in the United Kingdom.
At least one external and one internal examiner (and a chairperson if
one appointed) shall be present. Supervisors may, with the consent of
the candidate attend the oral examination and participate in the
discussion if requested by any of the examiners, but must withdraw
prior to the deliberations of the examiners on the outcome of the
examination. Under the Data Protection Act students do have the right
to request to see examiners comments. If examiners wish their
comments to remain confidential, they should advise the University
when they submit them and explain the issues which give rise to their
concern.
6.2.
The Director of Studies will inform the examiners before the
recommendation is determined, of any exceptional circumstances
which might have affected the candidate’s performance adversely.
6.3.
After the viva voce examination the examiners will, where they are in
agreement, jointly report on the thesis and examination. The RDC.4 (or
RDC.4R in the case of a resubmission) report form should be returned
to the Graduate School office as soon as possible. Where the
examiners are not in agreement, separate reports and
recommendations must be submitted to the Graduate School.
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Notes of guidance for examiners
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7.
Outcome of the Examination
7.1.
Following the viva voce examination the examiners may recommend
that:
a. pass with no corrections: the degree be awarded, or
b. pass with minor corrections: the degree be awarded subject to
minor corrections being made to the final copy of the thesis to the
satisfaction of one or all of the examiners by 3 months from the
date of the formal notification of the outcome of the examination,
or
c. pass with major corrections: the degree be awarded subject to the
major corrections and/or amendments being made to the final
copy of the thesis to the satisfaction of one or all of the examiners
by 9 months from the date of the formal notification of the outcome
of the examination, or
d. defer – resubmission allowed: the candidate is permitted to
resubmit for the degree (with detailed advice) and be re-examined
on one further occasion with or without further research by 12
months from the date of the formal notification of the outcome of
the examination, or
e. compensatory award: the degree for which the research student is
examined is not to be awarded but a lower level degree (MPhil,
ResM, PgCert or PgDip) or in the case of Professional Doctorates
and where the individual regulations for each Professional
Doctorate allow, an appropriate master level degree be awarded
subject to the presentation of the thesis being amended to the
satisfaction of the examiners by 3 months from the date of the
formal notification of the outcome of the examination, or
f. fail: the degree not to be awarded and the candidate not be
permitted to be re-examined.
7.2.
Where the examiners’ recommendations are not unanimous separate
report forms will be issued for the decisions to be reported separately.
The University:
a. will normally appoint an additional external examiner to arbitrate
and shall consider the reports of all examiners before reaching a
decision; or
b. may exceptionally accept the recommendation of the external
examiner(s).
8.
Award of the Degree without Amendments
8.1.
On agreement by the examiners that the degree be awarded without
any amendments, the candidate will be asked to submit an electronic
copy of the thesis in the University electronic repository (the candidate
should also supply the Director of Studies and any collaborating
establishments with a hardcopy if requested to do so but this is for the
candidate to arrange). The expectation is for the candidate to submit
this electronic copy of the thesis within 60 days of the official
notification of the outcome.
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2014 Edition
8.2.
8.3.
Notes of guidance for examiners
The award will not be given until the electronic copy of the thesis has
been submitted to the University repository and the submission been
approved by the Graduate School and any outstanding academic
debts to the University have been paid.
The Graduate School will arrange for the certificate to be produced
and will notify the Exams and Awards Office that the candidate is
eligible to attend the Graduation Ceremony.
9.
Minor or Major Corrections to the Thesis
9.1.
The student should be informed of the corrections required to the
thesis and the date by which these should be made. The corrections
must be made and submitted to the internal examiner and/or the
external examiner by the relevant date depending on the outcome. The
candidate should be told by the examiners how to submit the
corrections to them. Normally an electronic copy with the
changes/corrections Tracked or Tagged is preferred.
9.2.
Corrections are to be approved by the internal and/or the external
examiner(s) and not the chairperson. The chairperson may approve
corrections only if these are of typographical nature.
9.3.
The award will not be given until the electronic copy of the thesis has
been submitted to the University repository and the submission been
approved by the Graduate School and any outstanding academic
debts to the University have been paid.
9.4.
The Graduate School will arrange for the certificate to be produced
and will notify the Exams and Awards Office that the candidate is
eligible to attend the Graduation Ceremony.
10.
Re-Examination
10.1. A thesis may be re-examined on one occasion with a further viva voce
examination and with or without further research.
10.2. Details of any further research (where appropriate) requirements must
be submitted by the examination team to the Graduate School who will
then forward them to the research student.
10.3. Sufficient copies of the revised thesis must be resubmitted to the
Graduate School office by the deadline. Failure to resubmit by the date
set will normally be regarded as failure of the examination.
10.4. The internal examiner (or the chairperson if one has been appointed)
is responsible for obtaining the joint report of the examiners on the
form RDC.4R (recommendation of the examiners following
resubmission).
10.5. In the case of a re-submission where all the examiners agree on
outcome “a. pass with no corrections the degree to be awarded”, the
viva voce examination may be waived. Please contact the Graduate
School if this is the case.
10.6. The award will not be given until the electronic copy of the thesis has
been submitted to the University repository and the submission been
approved by the Graduate School and any outstanding academic
debts to the University have been paid.
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Notes of guidance for examiners
2014 Edition
10.7. The Graduate School will arrange for the certificate to be produced
and will notify the Exams and Awards Office that the candidate is
eligible to attend the Graduation Ceremony.
11.
Appeals Against Academic Decisions
Details of the regulations on Appeals against academic decisions can be
found at https://www.plymouth.ac.uk/student-life/your-studies/essentialinformation/complaints-appeals-and-conduct.
APPROVED ON 10 NOVEMBER 1993
Minor amendments approved July 1996, September 2002,
June 2003, August 2004, November 2012 and October 2014
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2014 Edition
PLYMOUTH UNIVERSITY
THE ROLES AND RESPONSIBILITIES OF CHAIRS
AT VIVA VOCE EXAMINATIONS OF
RESEARCH DEGREES
1. The appointment of a chair of a research degree viva voce examination needs
to have been approved either by the Graduate Sub-Committee or the Head of
the Graduate School on behalf of Graduate Sub-Committee. The reasons for
appointing a Chair can be various and include:
 Video conferenced viva voce examination
 Equality issues (when a chair is appointed then attention to an
appropriate gender balance is recommended)
 Extenuating Circumstances including Disability
 Issue(s) raised by either the internal or external examiner in the previva report
 Examination team has only recently met the minimum requirements of
examining experience
 External examiner is from overseas and has not examined UK/CNAA
before
 External examiner is an experienced researcher from industry but with
little or no examining experience.
The Chair will be provided with copies of the pre-viva reports of the examiners
and a copy of the thesis but is not an examiner. It is recommended that the
Chair reads the abstract and scans the thesis for any gross irregularities.
2. The principal duty of the Chair is to ensure that the rules and regulations of
the examination have been conducted in accordance with University
procedures and practices. It is therefore important that the Chair is an
experienced examiner and is familiar with the University’s procedures.
3. The Chair should obtain a copy of the QAA Framework for Higher Education
Qualifications Award Descriptor for Masters/Doctorates either from the
Graduate School or from the QAA website. These descriptors should act as
an aide memoire to the criteria for judging whether the candidate satisfies or
not, the U.K. criteria for Masters/Doctorate. These criteria can be particularly
helpful when examiners are faced with a borderline decision.
4. Ensure that the Examiners have had a period together prior to the viva voce
examination in the absence of the student and supervisor(s) to discuss their
opinion of the thesis. To ensure they have seen each others’ pre-viva reports
(RDC.4Ps). To ensure that the Examiners have developed an agenda or plan
of questioning for the viva voce examination.
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Roles and responsibilities of Chairs
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5. The Chair is responsible for the set-up in the examination room for the viva
voce examination. Check with the supervisor the actual location of the room
and its suitability for the viva voce examination. It is good practice to use a
neutral location, not the office of one of the supervisors. The room must be
free from any external distractions i.e. phone, computer, extraneous noise. If,
on the day of the viva voce examination, the room is deemed unsuitable then
the Chair has the right to seek an alternative venue for the viva voce
examination.
6. If the supervisor(s) are to attend the viva voce examination, then ensure that
they are positioned as an observer to the examination, they are not part of the
examination process. Supervisors can only make a contribution during the
examination with the permission of the Chair after consultation with the
examiners. It is expected that the supervisor remains completely silent during
the examination, remember it is the student who is being examined not the
supervisor. If the Examiners have queries to raise with the supervisor these
are normally deferred until the end of the viva voce examination and normally
taken in the absence of the candidate e.g. the Examiners may wish to ask the
supervisor about issues or extenuating circumstances that either, the student
had claimed or that they may suspect, has severely affected their ability to
collect data or write-up the thesis.
7. If the supervisor(s) is not present at the viva voce examination then the Chair
should know how to contact the supervisor or their nominee (phone extension,
or mobile phone number) in case they are required by the examination team.
Remember they will definitely be required at the end of the examination to
hear the decision.
8. Ensure that the supervisor or nominee has provided refreshments (water) at
the beginning and that refreshments (tea/coffee) will be provided at an
appropriate time during the viva voce examination e.g. after 1.5 to 2 hours. At
this time into the viva voce examination the Chair should offer a 5-10 min
comfort break for the examining team and the candidate.
9. Ensure that the student is given an opportunity to relax into the viva voce
examination setting at the beginning by an introductory question or two to get
the candidate talking e.g. “tell us why you carried out this research”, “did you
enjoy it”, “what was the most enjoyable part of the work” etc. After this
introduction, hand over to the examiners to conduct the viva voce
examination.
10. During the viva voce examination, it is good practice to take notes of the
progress of the viva voce examination with a time line noted in the margin.
Such notes are extremely helpful in the case of an appeal against the
decision! Keeping notes also helps the Chair remain alert and attentive during
a viva voce examination and gives them a purpose for being there!
11. During the viva voce examination the Chair has the right to intervene if they
judge that an examiner’s questioning is too aggressive, is biased, is
discriminatory or bigoted. If necessary, the Chair has the right to call a
temporary break to discuss an issue with the examiners.
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Roles and responsibilities of Chairs
12. If the candidate is showing signs of extreme stress the Chair should suspend
the viva voce examination and allow the candidate a short break to compose
themselves. In very extreme cases the Chair has the right to suspend the viva
voce examination indefinitely pending advice from a Counsellor. In the event
of the viva voce examination being suspended indefinitely the Graduate
School must be informed immediately and the supervisor or nominee referred
to the Head of Graduate School for advice of how to proceed.
13. At the end of the questioning period the Chair must ask that both examiners
are satisfied that they have enough information to come to an examination
decision regarding the candidate. If they agree then the Chair asks the
student to leave the room to allow the examiners to confer and come to a
decision. The student should be told to wait close by with their supervisor.
14. During the period of conferring the Chair’s role is to bring objectiveness to the
discussion reflecting back on particular relevant issues that occurred in the
viva voce examination – this is where your notes can be useful to you! The
Chair should use their experience to judge how the candidate had performed
in the viva voce examination e.g. using phraseology such as average, above
average, below average can help the examiners be more objective in the case
of a borderline student. Go through the questions on the RDC.4 (or RDC.4R)
one by one. If the examiners are not in agreement on any questions get them
to discuss it and come to a decision. Discuss each of the options for the result
of the examination with the examiners ruling out the options one by one. Most
(approx. 85%) examinations fall into category 2.2 - minor modifications, some
fall into the category of resubmission or award of a lower degree. In the case
of all decisions which require further work (either minor modifications or
resubmission) be sure that the examiners are agreed on what needs to be
done, the extent of the further work and which of the examiners will be
responsible for producing the written guidelines of the further work for the
student. Emphasise that a copy of these guidelines must be submitted with
the RDC.4/4R form to the Graduate School as soon after the end of the viva
voce examination as possible (normally within a day or two and definitely
within a two-week period from the date of the examination).
15. Ensure that the examining team, including the Chair, all sign the RDC.4 (or
RDC.4R in the case of resubmissions) form.
16. Call the candidate and supervisor or nominee back into the examination room
and deliver the verdict of the examination.
17. The Chair’s hand written notes of the viva voce examination must be passed
to the Graduate School so that they can be kept on file. This is very important
in the case of resubmission or the award of a degree different to which the
thesis was submitted for, as the student has the right to appeal against this
decision and the University has a duty to provide evidence on the conduct of
the examination.
Reviewed June 2008, November 2012 and October 2014
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2014 Edition
PLYMOUTH UNIVERSITY
QAA FRAMEWORK FOR
HIGHER EDUCATION QUALIFICATIONS
(EXTRACT)
Masters level
Much of the study undertaken for master's degrees will have been at, or informed by,
the forefront of an academic or professional discipline. Students will have shown
originality in the application of knowledge, and they will understand how the
boundaries of knowledge are advanced through research. They will be able to deal
with complex issues both systematically and creatively, and they will show originality
in tackling and solving problems.
They will have the qualities needed for employment in circumstances requiring
sound judgement, personal responsibility and initiative in complex and unpredictable
professional environments.
Master's degrees are awarded after completion of taught courses, programmes of
research or a mixture of both. Longer, research-based programmes may lead to the
degree of MPhil. The learning outcomes of most master's degree courses are
achieved on the basis of study equivalent to at least one full-time calendar year and
are taken by graduates with a bachelor's degree with honours (or equivalent
achievement).
Master's degrees are often distinguished from other qualifications at this level (for
example, advanced short courses, which often form parts of continuing professional
development programmes and lead to postgraduate certificates and/or postgraduate
diplomas) by an increased intensity, complexity and density of study. Master's
degrees - in comparison to postgraduate certificates and postgraduate diplomas typically include planned intellectual progression that often includes a
synoptic/research or scholarly activity.
Some master's degrees, for example in science, engineering and mathematics,
comprise an integrated programme of study spanning several levels where the
outcomes are normally achieved through study equivalent to four full-time academic
years. While the final outcomes of the qualifications themselves meet the
expectations of the descriptor for a higher education qualification at level 7 in full,
such qualifications are often termed 'integrated master's' as an acknowledgement of
the additional period of study at lower levels (which typically meets the expectations
of the descriptor for a higher education qualification at level 6).
First degrees in medicine, dentistry and veterinary science comprise an integrated
programme of study and professional practice spanning several levels. While the
final outcomes of the qualifications themselves typically meet the expectations of the
descriptor for a higher education qualification at level 7, these qualifications may
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QAA framework of higher education qualifications
2014 Edition
often retain, for historical reasons, titles of Bachelor of Medicine, and Bachelor of
Surgery, Bachelor of Dental Surgery, Bachelor of Veterinary Medicine or Bachelor of
Veterinary Science, and are abbreviated to MBChB or BM BS, BDS, BVetMed and
BVSc respectively.
Note
The Master of Arts (MA) granted by the University of Oxford and the University of
Cambridge are not academic qualifications. The MA is normally granted, on
application, to graduates of these universities with a Bachelor of Arts (BA). No further
study or assessment is required, but the recipient may be required to pay a fee.
At the University of Oxford, the MA may be granted during or after the twenty-first
term from matriculation and at the University of Cambridge, the MA may be granted
six years after the end of the first term.
Descriptor for qualifications at Masters (M) level: Masters degree
Masters degrees are awarded to students who have demonstrated:
a. a systematic understanding of knowledge, and a critical awareness of current
problems and/or new insights, much of which is at, or informed by, the
forefront of their academic discipline, field of study, or area of professional
practice;
b. a comprehensive understanding of techniques applicable to their own
research or advanced scholarship;
c. originality in the application of knowledge, together with a practical
understanding of how established techniques of research and enquiry are
used to create and interpret knowledge in the discipline;
d. conceptual understanding that enables the student:
 to evaluate critically current research and advanced scholarship in the
discipline; and
 to evaluate methodologies and develop critiques of them and, where
appropriate, to propose new hypotheses.
Typically, holders of the qualification will be able to:
a. deal with complex issues both systematically and creatively, make sound
judgements in the absence of complete data, and communicate their
conclusions clearly to specialist and non-specialist audiences;
b. demonstrate self-direction and originality in tackling and solving problems, and
act autonomously in planning and implementing tasks at a professional or
equivalent level;
c. continue to advance their knowledge and understanding, and to develop new
skills to a high level;
and will have:
d. the qualities and transferable skills necessary for employment requiring:
 the exercise of initiative and personal responsibility;
 decision-making in complex and unpredictable situations; and
 the independent learning ability required for continuing professional
development.
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QAA framework of higher education qualifications
Doctoral level
Doctoral degrees are awarded for the creation and interpretation, construction and/or
exposition of knowledge which extends the forefront of a discipline, usually through
original research.
Holders of doctoral degrees will be able to conceptualise, design and implement
projects for the generation of significant new knowledge and/or understanding.
Holders of doctoral degrees will have the qualities needed for employment that
require both the ability to make informed judgements on complex issues in specialist
fields and an innovative approach to tackling and solving problems.
Doctoral programmes that may include a research component but which have a
substantial taught element (for example, Professional Doctorates), lead usually to
awards which include the name of the discipline in their title (for example, EdD for
Doctor of Education or DClinPsy for Doctor of Clinical Psychology). Professional
Doctorates aim to develop an individual's professional practice and to support them
in producing a contribution to (professional) knowledge.
The titles PhD and DPhil are commonly used for doctoral degrees awarded on the
basis of original research.
Achievement of outcomes consistent with the qualification descriptor for the doctoral
degree normally requires study equivalent to three full-time calendar years.
Higher doctorates may be awarded in recognition of a substantial body of original
research undertaken over the course of many years. Typically a portfolio of work
which has been previously published in a peer-refereed context is submitted for
assessment. Most higher education awarding bodies restrict candidacy to graduates
or academic staff of several years' standing.
Note
Honorary doctoral degrees are not academic qualifications.
Descriptor for qualifications at Doctoral (D) level: Doctoral degree
Doctorates are awarded to students who have demonstrated:
a. the creation and interpretation of new knowledge, through original research or
other advanced scholarship, of a quality to satisfy peer review, extend the
forefront of the discipline, and merit publication,
b. a systematic acquisition and understanding of a substantial body of
knowledge which is at the forefront of an academic discipline or area of
professional practice,
c. the general ability to conceptualise, design and implement a project for the
generation of new knowledge, applications or understanding at the forefront of
the discipline, and to adjust the project design in the light of unforeseen
problems;
d. a detailed understanding of applicable techniques for research and advanced
academic enquiry.
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QAA framework of higher education qualifications
2014 Edition
Typically, holders of the qualification will be able to:
a. make informed judgements on complex issues in specialist fields, often in the
absence of complete data, and be able to communicate their ideas and
conclusions clearly and effectively to specialist and non-specialist audiences;
b. continue to undertake pure and/or applied research and development at an
advanced level, contributing substantially to the development of new
techniques, ideas, or approaches;
and will have:
c. the qualities and transferable skills necessary for employment requiring the
exercise of personal responsibility and largely autonomous initiative in
complex and unpredictable situations, in professional or equivalent
environments.
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2014 Edition
APPENDIX 1 - PRESENTATION OF A THESIS
PRESENTATION
Except with specific permission of the Graduate Sub-Committee the thesis must be
presented in English.
Perfect/Temporary Binding
Theses can be submitted for examination in permanent or more usually "perfect"
temporary binding, which is sufficiently secure to guarantee that pages cannot be
added or removed. The University accepts temporarily bound theses which are
presented in the format of perfect binding where all pages are glued together on the
spine of the document. A thesis submitted in temporary binding must be in its final
form in all respects other than binding.
The University requires all theses, in their final form following examination, to be
submitted as an electronic version of the thesis which will need to be uploaded in the
University electronic repository. The award will not be given until the electronic copy
of the thesis has been submitted to the University repository and the submission
been approved by the Graduate School and any outstanding academic debts to the
University have been paid.
Students may wish to produce a hard copy of their final thesis for themselves, their
supervisors or their funders and the hard copy should conform to the following
instructions.
Cover and Binding
Any final hardbound of the thesis for personal use of the candidate, supervisors or
other staff should be such that the spine is flexible enough so that it can be opened
fully for ease of reading, it is fixed so that pages cannot be removed or replaced and
the cover is rigid to support the weight of the pages when upright
Wording on Spine Permanent Bound Thesis Only
The permanent bound thesis should detail:




surname and initials of the candidate,
qualification aim/achieved,
year of submission, and
volume of work if the work consists of more than one volume.
Wording on front page or front cover
The front page/cover should detail:




title of the work,
surname and initials of the candidate,
qualification aim/achieved, and
year of submission.
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Lettering on Front Cover and Spine (Permanent Bound Thesis Only)
The lettering should normally be 8 mm capital height if all in capitals, 10 mm capital
height if capitals and lower case are used.
Page Format



Page size/type:
Margins top/bottom:
Page numbering:



Chapter numbering:
Footnotes:
Printing:
A4 portrait; white (70 to 100 g/m2)
20 mm
Arabic numerals located bottom centre, in single
sequence throughout, including pages that carry
tables, figures, plates and appendices
In sequence from start to finish of the thesis
Single spaced
Double-sided
Line Format





Justification:
Inside margin:
Outside margin:
Line length:
Spacing:
Left compulsory; right optional
40 mm
20 mm
60 to 70 characters
Text in double spacing; quotations in single
spacing
CONTENTS
Sequence of Items
Recommended sequence of items required in a single-volume thesis:











Copyright statement
Title page (see model)
Acknowledgements
Author's declaration and word count (see model)
Abstract
List of contents
List of tables, illustrations, etc.
Text, divided into chapters, sections, etc.
Appendices
List of references/bibliography
Bound in copies of publications
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Appendix 1
Copyright Statement
The following statement should be placed on a single page on the first page of the
thesis:
This copy of the thesis has been supplied on condition that
anyone who consults it is understood to recognise that its
copyright rests with its author and that no quotation from
the thesis and no information derived from it may be
published without the author's prior consent.
Title Page
A model title page is attached.
Acknowledgements
The acknowledgements should normally include the reason for undertaking the
study, acknowledgements of assistance including scholarships and grants,
acknowledgements of assistance from supervisors and colleagues and thanks for
support from friends, family, etc.
Author's Signed Declaration
A model declaration is attached. The declaration page should be signed and dated
by the candidate at the foot of the page and contain:





a declaration that at no time during the registration for the research
degree has the author been registered for any other University award,
without prior agreement of the Graduate Sub-Committee,
a declaration that no work submitted for a research degree at Plymouth
University may form part of any other degree either at the University or at
another establishment,
if the registration has been undertaken as part of an official agreement
between Plymouth University and an another institution(s) (Joint degree),
then the declaration must mention this,
if the study was part of a collaborative project then a clear indication of the
individual contribution of the candidate and extent of collaboration, and
relevant aspects of research training undertaken such as courses
completed, conferences attended, presentations of research works and
published or other forms of presentation of creative work.
Abstract
The text should be approximately 300 words and should provide a synopsis of the
thesis, stating the nature and scope of work undertaken and the contribution to
knowledge in the subject. The abstract should appear on a single page and should
be headed by:


the candidate’s name in full (not initials), and
the title of thesis.
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List of Contents
The list of contents should follow the abstract page. All relevant subdivisions of the
thesis should be listed in sequence including the following:





the title of chapters, sections and subsections,
appendices,
the list of abbreviations and other functional parts of the whole thesis,
the list of references/bibliography, and
publications.
List of Illustrations and Tables
Should follow the list of contents.
1. Illustrations
Illustrations should appear near to the first reference made to them in the text. It may
be desirable to group illustrations at the back of the thesis, as appendices, if they:



need to be compared with one another, or
are referred to frequently in the text, or
need to be separate because of their size or character.
List of Illustrations
Every illustration in the thesis, including appendices and material that cannot be
bound, should be included in the list of illustrations with page numbers or other
identification.
Legends and Labels
A short legend should appear beneath each illustration detailing the title of the
illustration and any other necessary information e.g. meaning of codes, size and
source of item reproduced.
Numbering
Illustrations should be numbered consecutively in a single sequence.
Large Illustrations
If it is necessary to bind an illustration into the thesis which is greater than A4 in size,
it should be produced on paper that can be folded to fit within the thesis or if too
large, then it should be placed in a pocket attached to the inside back cover of the
volume. The bindery should be advised of any large illustrations.
Material that cannot be bound should be avoided if possible. Any such material that
cannot be bound near to the related text should be:



packaged in such a way that it can be bound with the thesis, or
stored in a pocket attached to the inside back cover, or
gathered into another volume and stored in a rigid container of the same
size as the bound thesis.
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Appendix 1
2. Tables
If there are relatively few tables, each should appear near to the first reference made
to them in the text. Each table should, if possible, appear complete on one page. It
may be desirable to group tables at the back of the thesis, as appendices, if:


they are referred to frequently in the text, or
there are many tables.
Number and Title
Each table should have a number and title, which should appear beneath the table.
The number should precede the title. The title should describe the content of the
table.
Tables within the text should be numbered in a single sequence, separate from
illustrations. Tables that are not the work of the author but that are reproduced in the
thesis should be numbered and treated as illustrations. Tables in an appendix should
have a separate sequence. If there is more than one sequence of tables, the
different sequences should be identified. If a table occupies more than one page, its
number should be given on each page, followed if necessary by 'continued'.
Character Size
The size should be large enough to allow the table to be reproduced without risk to
legibility. Numerical tables may require a larger character size than the main text. A
series of tables should be consistent in character size, use of space, etc.
3. Photographic Prints and Computer Printout
If bound within the text photographic prints should be on medium - weight
photographic paper.
Appendices
The appendices may contain material of considerable length, lists, documents,
commentaries, tables and other matters that if included in the thesis would interrupt
the flow. The style should be consistent with the main text.
If long appendices are divided into chapters these divisions should be detailed in the
list of contents under the main heading of the appendix. Appendices should follow
the main text of the thesis, possibly with a separate list of contents, particularly if the
thesis is divided into more than one volume.
List of References/Bibliography
Full bibliographical references should be given for all works cited in the text and
should follow one of the major accepted systems. It is necessary to distinguish
between a bibliography and a reference list.
A bibliography lists all works and sources which have been read or consulted during
the course of the research but will not necessarily be an exhaustive list of all material
relevant to it.
A list of references is confined to sources mentioned in the text, and this is usually
considered more pertinent for a thesis (although sometimes important publications
which have been consulted, but not specifically referred to in the text may be
included).
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Publications
Students are encouraged to publish and/or present their research material in
advance of the thesis, thereby having some peer review of their work. Copies of
published materials should be bound in with the thesis or placed in an adequately
secured pocket at the end of the thesis.
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Appendix 1
MODEL DECLARATION
AUTHOR'S DECLARATION
TO BE TAKEN AS AN EXAMPLE, AND BE AMENDED
TO EACH CANDIDATE’S DETAILS
At no time during the registration for the degree of Doctor of Philosophy has the
author been registered for any other University award without prior agreement of the
Graduate Sub-Committee.
Work submitted for this research degree at the Plymouth University has not formed
part of any other degree either at Plymouth University or at another establishment.
This research has been conducted under a formal agreement with name of other
higher education institution(s), for which a joint award will be awarded.
This study was financed with the aid of a studentship form the sponsor name and
carried out in collaboration with collaborating institution.
A programme of advanced study was undertaken, which included taught modules
taken, other as relevant.
Relevant scientific seminars and conferences were regularly attended at which work
was often presented; external institutions were visited for consultation purposes and
several papers prepared for publication.
Publications (or presentation of other forms of creative and performing work):
Presentation and Conferences Attended:
External Contacts:
Word count of main body of thesis:
Signed
Date
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Appendix 1
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MODEL TITLE PAGE:
AN EVALUATION OF THE MEASUREMENTS OF PORT EFFICIENCY
by
ANDREW JOHN SMITH
A thesis submitted to Plymouth University
in partial fulfilment for the degree of
DOCTOR OF PHILOSOPHY
Earth and Environmental Sciences Doctoral Training Centre
In collaboration with
Rutland Port Authorities
August 2014
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PLYMOUTH UNIVERSITY
DRAKE CIRCUS, PLYMOUTH PL4 8AA
December 2014