ASTON UNIVERSITY

REGULATIONS

FOR STUDENTS REGISTERING FOR

HIGHER DEGREES

BY

RESEARCH AND THESIS

MPhil and PhD

For students registering on or after 1 October 1999

REG/98/244(3)replaces REG/88/320(1)

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INTRODUCTION

These Regulations cover students wishing to obtain a higher degree by research and thesis.Academic staff, or research students who are appointed to the academic staff before completingthe requirements for the MPhil or PhD degree, should ensure they consult the SpecialRegulations for Academic Staff Candidates available from Registry and Planning Services.MPhil and PhD by Publication students should also consult the appropriate Special Regulationsfor these programmes. Special Regulations for the Presentation of Theses are also availablefrom Registry and should be consulted before a thesis is submitted.

Throughout the Regulations the ultimate authority is the Senate, but the Senate has delegated anumber of its functions to the Quality and Standards Committee and to Boards and Committeeswithin each School. Similarly, many of the functions of the Academic Registrar have beendelegated to other administrative staff.

Questions concerning the registration of a specific research student should be referred in the firstinstance to the appropriate School Administrator, while more general questions on theRegulations should be addressed to the Chairman or Secretary of the School ResearchCommittees or the Quality and Standards Committee.

The Regulations for the degree of Doctor of Science, awarded on the basis of published work,are published separately and are available from the Secretary to the Quality and StandardsCommittee.

Research students and their supervisors are strongly recommended to observe the guidelines inthe EPSRC pamphlet 'An Approach to Good Supervisory Practice' or its ESRC counterpart'The Preparation and Supervision of Research Theses in the Social Sciences'. These arecirculated to research students by the appropriate University School on registration. Furthercopies may be obtained by writing directly to the appropriate Research Council at:

Polaris HouseNorth Star AvenueSwindon SN2 1ET

The main Research Councils are as follows:

AHRB (Arts and Humanities Research Board)BBSRC (Biotechnology and Biological Sciences Research Council)EPSRC (Engineering and Physical Sciences Research Council)ESRC (Economic and Social Research Council)MRC (Medical Research Council)NERC (Natural Environment Research Council)PPARC (Particle Physics and Astronomy Research Council)

Changes from REG/88/320(1) are indicated by a bar alongside the text.

All references to Director of Research apply to Director of Research or their nominee.

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REGULATIONS FOR STUDENTS REGISTERING FORHIGHER DEGREES BY RESEARCH AND THESIS

Master of Philosophy and Doctor of Philosophy

CONTENTS

Page

1. GENERAL 6

1.1 Admission to the Degree1.2 Nature of the Degree1.3 Qualification for the Degree1.4 Circumstances for Tuition Fee Exemption for University Staff.

2. ENTRY QUALIFICATIONS 7

3. APPLICATION 7

3.1 Enrolment and Registration3.2 Initial Registration

4. DATE AND TYPE OF REGISTRATION 8

4.1 Date of Registration4.2 Conditional Registration4.3 Type of Registration4.4 'Writing-up'4.5 Specific Registration

5. PROPOSED RESEARCH TOPIC 10

6. SUPERVISION AND PLACE OF WORK 10

6.1 Supervision6.2 Internal Students6.4 Sandwich Students6.4 External Students

7. ASSOCIATE SUPERVISORS, ADVISORS AND EXTERNALCONTACTS 11

7.1 Associate Supervisors7.2 Advisors7.3 External Contacts

8. COURSEWORK 12

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9. ANNUAL REPORTS BY INTERNAL SUPERVISORS 12

9.1 All Annual Reports9.2 Qualifying Reports

10. ABSENCE 13

10.1 Work away from the University10.2 Vacation10.3 Suspension of Research

11. TRANSFER BETWEEN MPhil AND PhD REGISTRATION 14

12. TERMINATION OF REGISTRATION 15

12.1 Termination by the Student12.2 Termination by the Internal Supervisor

13. TIME LIMITS FOR SUBMISSION OF THESES 15

13.1 Normal Time Limits13.2 Extension of Time Limit13.3 Normal Time Limits13.4 Extension of Time Limit

14. SUBMISSION OF THESIS BEFORE EXAMINATION 17

14.1 Required Documentation14.2 Restriction of Access to Theses14.3 Time Between Submission and Examination

15. APPOINTMENT OF EXAMINERS 17

15.1 Normal Appointment of Examiners15.2 Early Appointment15.3 Referee Examiner15.4 Examiners for New Academic Staff15.5 Changing an External Examiner

16. ATTENDANCE AT THE ORAL EXAMINATION 19

17. CONDUCT OF THE EXAMINATION 19

18. EXAMINERS' RECOMMENDATIONS 20

18.1 Satisfactory18.2 Unsatisfactory18.3 No Agreed Recommendation

19. COMPLETION OF MINOR REVISIONS 21

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20. MAJOR REVISION OF THE THESIS 21

21. EXAMINATION OF A RESUBMITTED THESIS 21

22. EXAMINERS' RECOMMENDATIONS ON A RESUBMITTEDTHESIS 22

22.1 Satisfactory22.2 Unsatisfactory22.3 No Agreed Recommendation

23. SUBMISSION OF THESIS FOLLOWING EXAMINATION 23

23.1 Required documentation23.2 Distribution of Theses

24. AWARD OF DEGREE 23

25. WAIVERS OF REGULATIONS 23

26. COMPLAINTS BY RESEARCH STUDENTS 24

27. APPEALS BY RESEARCH STUDENTS 25

28. PLAGIARISM AND FRAUD 25

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1. GENERAL

1.1 Admission to the Degree

Students of the University may be admitted by the Senate to the higher degrees ofMaster of Philosophy (MPhil) or Doctor of Philosophy (PhD) on complying with therequirements of these Regulations and with such Ordinances and other Regulations asare relevant.

1.2 Nature of the Degree

(a) MPhil

The degree of Master of Philosophy may be awarded to a student whose postgraduateresearch work represents a contribution to knowledge and shows a critical appreciationof existing knowledge in the field. The work must be communicated coherently in athesis presented in a critical, literary and orderly way and, where appropriate, must showevidence of adequate analysis and discussion of results.

(b) PhDThe degree of Doctor of Philosophy may be awarded to a student whose postgraduateresearch work represents a substantial original contribution to knowledge and shows acritical appreciation of existing knowledge in the field. The work must be communicatedcoherently in a thesis presented in a critical, literary and orderly way and, whereappropriate, must show evidence of adequate analysis and discussion of results.

1.3 Qualification for the Degree

In order to qualify for the award of a higher degree by research and thesis a student musthave:

(a) enrolled as a student of the University,

(b) registered as a research student,

(c) pursued a course of research within the time limits prescribed in theseRegulations,

(d) presented a satisfactory thesis upon the subject of the research,

(e) satisfactorily undergone an oral examination unless, in extraordinarycircumstances, a written examination has been substituted under the provisions ofRegulation 17(c),

(f) paid the appropriate fees and discharged all other obligations to the University,

(g) completed all of these requirements within one year of the date on which theExaminers recommended the award.

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1.4 Circumstances for Tuition Fee Exemption for University Staff

The University encourages staff to enrol on higher degree programmes providing that theHead of School/Department and the Head of Staff Development consider theprogramme to be relevant to the needs of the School/Department, the University and theindividual. Staff who leave the University during the course of study will be allowed tocomplete that year, but any further financial support will be subject to Universityapproval, depending on the circumstances of the departure. The University will meet thecosts of the standard fee for any higher degree programme, but any additional premiumfee will be met by either the member of staff or the School/Department in which theindividual is employed, if agreed by the Head. The University reserves the right toreview the number of staff it supports on such programmes from time to time.

2. ENTRY QUALIFICATIONS

(a) The applicant should normally have been awarded either a first or second classHonours degree or a qualification deemed by the appropriate School Committeeto provide similar evidence of research potential,

(b) approval for purposes of admission of academic awards of any University,College, National Council or Professional Body shall be determined by theappropriate School Committee,

(c) applicants whose first language is not English must demonstrate to the School towhich they are applying a satisfactory command of written and spoken Englishbefore enrolment.

3. APPLICATION

3.1 Enrolment and Registration

Before commencing research an applicant for a higher degree by research must:

(a) enrol as a student of the University, through the Registry, by completing andsubmitting the prescribed enrolment form,

(b) complete and submit the prescribed form of application for registration inconsultation with the proposed Internal Supervisor, to the relevant SchoolAdministrator.

Successful enrolment does not, of itself, guarantee acceptance of the application forregistration.

3.2 Initial Registration

Research students may only be registered if approval has been given by the Director ofResearch and the appropriate School Research Committee for:

(a) the student's entry qualifications (See Regulation 2 above)

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(b) the date and type of registration (See Regulation 4 below)

(c) the proposed research topic (See Regulation 5 below)

(d) the location of the research work (See Regulation 6 below)

(e) the supervisory arrangements (See Regulations 6 and 7 below).

4. DATE AND TYPE OF REGISTRATION

4.1 Date of Registration

For students enrolled on or before 6 February 1990:

The effective date of registration will be the first day of the term in which the researchstudent enrols. Registration should be completed within three months of the date ofenrolment. If an alternative date of registration is sought, then formal approval of therelevant School Research Committee is required.

For students enrolled on or after 7 February 1990:

The process of registration must be completed within three months of the date on whichthe student enrols. The student’s effective date of registration will be one of the followingfour dates in the appropriate academic or calendar year:

1 October, 1 January, 1 April or 1 July

The date (including the year) is determined and approved by the relevant SchoolResearch Committee and will be the date closest to the date on which the student enrols.

4.2 Conditional Registration

(a) conditional registration for a period of up to one term may be approved by theappropriate School Research Committee where an applicant is required topursue courses of instruction and/or attain a prescribed standard in a specialexamination,

(b) if the conditional registration is confirmed by the appropriate School ResearchCommittee, the date of conditional registration becomes the date of registration.

4.3 Type of Registration

Research students must be registered on one of the following bases:

(a) as a full-time internal student, pursuing full-time research within the University,

(b) as a part-time internal student, pursuing research within the University for not lessthan twelve weeks per year, or equivalent, and not more than twenty-four weeksper year, or equivalent,

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(c) as a sandwich student, pursuing full-time research of which 30% to 70% of thestudent's time is spent within the University and the remainder within acollaborating organisation,

(d) as a full-time external student, pursuing full-time research outside the University,

(e) as a part-time external student, pursuing research outside the University for notless than twelve weeks per year, or equivalent, and not more than twenty-fourweeks per year, or equivalent.

Where a part-time student is in regular communication with their Internal Supervisor, andwhere the subject area of the research topic is appropriate, the Internal Supervisor andthe Director of Research may request an exemption or significant reduction in thespecified period of attendance or residence near the University to the appropriate SchoolResearch Committee.

The approval of the appropriate School Research Committee is required before astudent may transfer to a different category of registration.

The normal time limits for each type of registration are listed in Regulation 13, below.

4.4 'Writing Up'

(a) A 'writing-up' student is defined as one who, having completed all aspects oftheir research, is concentrating on writing a thesis, normally away from theUniversity,

(b) A research student may not enrol as 'writing-up' before completing the minimumperiod of research as a full-time or part-time student, defined in Regulation 13 asthe earliest date for submission of the thesis,

(c) A research student may only be enrolled as 'writing-up' after the SchoolAdministrator has received a written request from the Internal Supervisor whichalso confirms that the student's thesis will be submitted within one year in thecase of a full-time student or two years in the case of a part-time student.Where there is both an Internal and External Supervisor the request must comefrom the Internal Supervisor following consultation with the External Supervisor.

4.5 Specific Registration

All research students are registered in the first instance for an unspecified higher degreeby research and thesis. On satisfactory completion of the first year of supervisedresearch, in the case of full-time students, or the second year of supervised research, inthe case of part-time students, based on a satisfactory qualifying report, each studentmay be recommended for registration either for the degree of MPhil or for the degree ofPhD (See Regulation 9).

5. PROPOSED RESEARCH TOPIC

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(a) applicants for registration must provide details of the proposed scheme of work,

(b) the Internal Supervisor must attest that the proposed scheme of work is capableof being pursued to the level and extent appropriate to a higher degree within thespecified time-limit.

(c) where a research programme is concerned with particularly sensitive material,arrangements may be made to restrict the circulation of the resultant MPhil orPhD thesis through a 'Restriction of Access' (See Regulation 14.2). However,such a restriction will be of limited duration and should not prevent thepublication of articles arising from the research work,

(d) the student and supervisor are advised to ensure at an early stage of planning thethesis that sensitive information will be excluded which does not clearly supportthe academic basis of the work, to avoid wherever possible the need to requesta restriction of access to the finished thesis.

6. SUPERVISION AND PLACE OF WORK

6.1 Supervision

(a) every research student must be supervised by an Internal Supervisor who is afull-time member of the Academic Staff,

(b) no person may be the Internal Supervisor for more than six full-time researchstudents at any time without the agreement of the appropriate Director ofResearch and School Research Committee. The names of such persons must bereported to the Quality & Standards Committee of Senate.

6.2 Internal Students

(a) an internal research student must pursue full-time or part-time research whollywithin the University under the direct supervision of an Internal Supervisor,

(b) in certain circumstances an internal research student may be permitted to workaway from the University (See Regulation 10). The informal involvement of amember of Senior Staff of the organisation in which the student is pursuing theresearch, should be in the role of External Contact (see Regulation 7.3).

6.3 Sandwich Students

A sandwich research student must pursue full-time research partly within the Universityand partly within one or more external organisations under the supervision of an InternalSupervisor and one or more Associate Supervisors appointed by the appropriate SchoolResearch Committee from any University School(s) and/or the senior staff of the externalorganisation(s). (See Regulation 7.1 below)

6.4 External Students

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(a) An external research student must pursue full-time or part-time research whollyoutside the University under the supervision of an Internal Supervisor and anExternal Supervisor appointed by the appropriate School Research Committeefrom the senior staff of the external organisation in which the student is pursuingthe research.

(b) Before the student is registered the Internal Supervisor must provide a clearindication of the way the proposed research relates to current research in theUniversity.

(c) The progress of all external students must be monitored every six months by theirInternal Supervisor.

7. ASSOCIATE SUPERVISORS, ADVISORS AND EXTERNAL CONTACTS

7.1 Associate Supervisors

A research student's supervision may be supplemented by one or more AssociateSupervisors. The appointment of an Associate Supervisor may be beneficial in thefollowing instances:

(a) a member of an external organisation may be appointed as an AssociateSupervisor to assist in the supervision of sandwich research student (SeeRegulation 6.3 above),

(b) where the student's research is interdisciplinary, a second member of theAcademic Staff of the University may be appointed as Associate Supervisor,

(c) where the Internal Supervisor leaves the University and a replacement isappointed from among the academic Staff of the University, the original InternalSupervisor may be appointed as Associate Supervisor.

7.2 Advisors

(a) the appropriate School Research Committee may appoint an Advisor(nominated by the Director of Research) for an Internal Supervisor who has notpreviously supervised a research student to successful completion of an MPhil orPhD degree,

(b) the Advisor must be a member of the full-time Academic Staff and should havesupervised and examined at least one successful candidate for MPhil or PhD.

7.3 External Contacts

A member of an external organisation who wishes to be kept informed of the progress ofan internal student who has been granted permission to work away from the University

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may be appointed in the role of External Contact. The External Contact is not involvedin the supervision of the student (see Regulation 6.2 above).

8. COURSEWORK

(a) all students registered for an MPhil must undertake a minimum of 60 hoursappropriate formal coursework, including conference sessions, between the dateof registration and before the thesis is submitted. All students registered for aPhD must undertake a minimum of 90 hours' appropriate formal coursework,including conference sessions, between the date of registration and before thethesis is submitted,

(b) the choice of courses to be undertaken is subject to the advice of theSupervisor(s), but Staff Development courses may only account for a maximumof 30 hours,

(c) a list of the courses attended must be sent to the Examiners by the Registrybefore the oral examination,

(d) on the recommendation of the Internal Supervisor at the time of registration, astudent who has been admitted to an appropriate Master's degree may begranted exemption by the appropriate School Research Committee from all orpart of the coursework requirement.

9. ANNUAL REPORTS BY INTERNAL SUPERVISORS

9.1 All Annual Reports

(a) at the end of each year of registration the Internal Supervisor must submit to theappropriate School Research Committee a report on the performance of eachresearch student, including details of the formal coursework undertaken by thestudent during the year,

(b) annual reports must be completed by the end of each year following the student'sregistration, this applies equally to full-time and part-time students,

(c) in exceptional circumstances, which must be reported to the Senate, where theInternal Supervisor is unable to submit a completed report within the year, theannual report may be submitted by a later date agreed by the appropriate SchoolResearch Committee,

(d) each report must be countersigned by the Advisor, if appointed, and by anyother of the student's Supervisors and must give brief details of meetingsbetween the student and Supervisor(s) and confirmation that the workingconditions for external or sandwich students are satisfactory,

(e) each research student must be sent a copy of his or her annual report after it hasbeen submitted to the appropriate School Research Committee.

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9.2 Qualifying Reports

(a) before the end of the first year of registration, in the case of full-time students orbefore the end of the second year in the case of part-time students, eachresearch student must write a report on the research work. The report shouldbe a minimum of about 3,000 words or as specified by the appropriate SchoolResearch Committee. The student must then be examined on the content of thereport at an oral examination conducted by the Internal Supervisor, the Advisor(if appointed) and one other member of the Academic Staff nominated by theDirector of Research or their nominee,

(b) on the basis of the student's report and oral examination, the Internal Supervisor,Director's nominee (and Advisor) must submit a joint written and signed reportwhich includes one of the following recommendations:

(i) that the student's registration for the degree of PhD be approved,

(ii) that the student's registration for the degree of MPhil be approved,

(iii) that the student's registration should be terminated.

(c) the qualifying report on the student should also give a provisional title for thethesis,

(d) if a research student from the School of Languages and European Studies plansto write the thesis in one of the languages taught and examined in that School,application must be made by the Internal Supervisor, on behalf of the student, atthe time of the qualifying report. The application must explain clearly the reasonfor the request and must demonstrate that there will be no undue restriction in thechoice of External Examiner if the application is approved.

10. ABSENCE

10.1 Work away from the University

(a) internal research students may, if permission has previously been received fromthe appropriate School Research Committee, continue their research for anextended period at approved centres other than the University, or undertakeappropriate field work. Where research is continued outside the University inthis way, it must remain under the control and supervision of the InternalSupervisor,

(b) in no case may an internal research student be permitted to spend less than oneyear working in the University,

(c) research students in receipt of Research Councils' Co-operative or CollaborativeTraining Awards (CASE, CASS or CTA) may continue their research awayfrom the University without prior permission providing that full reports on theresearch are submitted to the Internal Supervisor.

10.2 Vacation

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A research student may be allowed up to six weeks vacation a year by priorarrangement with their Supervisor, or a vacation allowance as specified by their sponsor.

10.3 Suspension of Research

A research student may apply to the appropriate School Research Committee for leaveof absence of no more than one year on the grounds of pregnancy, illness or othersufficient cause, during which the research work is suspended and no tuition fee ischarged, although the student is required to enrol. This period does not count in thecalculation of time limits for submission of the thesis (see Regulation 13 below), and isthe same for full-time and part-time students.

11. TRANSFER BETWEEN MPhil AND PhD REGISTRATION

Provision is made in exceptional cases for transfer between MPhil and PhD registrationsubject to the following conditions:

(a) any request must be accompanied by a detailed assessment of the student'swork by the Internal Supervisor and must be approved by the appropriateSchool Research Committee,

(b) where a student is seeking transfer from MPhil to PhD registration on academicgrounds, the student must also present an extended report for examination by anindependent assessor appointed by the Director of Research,

(c) a request to transfer from MPhil to PhD registration must be made before theresearch student enters the final maximum (MPhil) year as defined in Regulation13.1 and 13.3,

(d) if a transfer from MPhil to PhD registration is approved, it may not subsequentlybe reversed,

(e) transfer from PhD to MPhil registration may be requested at any time before thethesis is submitted, but may not subsequently be reversed,

(f) if a research student is allowed to transfer from MPhil to PhD registration, atleast one year must elapse from the date on which the transfer was approvedbefore the PhD thesis is submitted,

(g) in the event of a transfer of registration, the student's original date of registrationwill be unaltered and the Regulations relevant to the new level of registration willapply.

12. TERMINATION OF REGISTRATION

12.1 Termination by the Student

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If a student wishes to withdraw from their research thereby terminating their registration,the student must notify their Internal Supervisor and the Secretary to the appropriateSchool Research Committee in writing, stating their main reasons for leaving. No refundof fees can be calculated until notification of withdrawal is received.

12.2 Termination by the Internal Supervisor

(a) if at any time the Internal Supervisor considers that a research student's progressis unsatisfactory and that the student is unlikely to complete the requirements ofthe degree, this must be reported in writing to the Secretary of the appropriateSchool Research Committee and the student,

(b) if the research student continues to make unsatisfactory progress in the threemonths following the initial notification in writing, the Internal Supervisor mayrecommend to the appropriate School Research Committee that the student'sregistration be terminated,

(c) before deciding that a student's registration should be terminated the appropriateSchool Research Committee must give the student the opportunity to makerepresentations (aided by another member of the University, or by a member ofstaff acceptable to the Senate, if desired) concerning the circumstances whichhave affected the student's progress. (Representations normally take the form ofa written submission to the Chair of the Committee). The student must be givena minimum of ten days notice if a full-time student or twenty days notice if a part-time student, of the appropriate School Research Committee meeting. Beforeconsidering the student’s representations, attendance at the School Committeemeeting must include at least two Academic Staff from at least one other Schooland should not include the Supervisor or Associate Supervisor,

(d) if the student is dissatisfied with the outcome of the School meeting she/he mayrefer the complaint to the Senior-Pro-Vice-Chancellor under the proceduresdetailed in the University stage of the Student Complaints Procedures.

13. TIME LIMITS FOR SUBMISSION OF THESES

13.1 Normal Time Limits

All time-limits are calculated from the student's date of registration.

(a) Full-time students (internal, external or sandwich)

Earliest date for submission:MPhilafter one year

PhDafter two years

Maximum time allowed: two years three years

(b) Part-time students (internal or external)

Earliest date for submission:MPhil

after two yearsPhD

after four yearsMaximum time allowed: four years six years

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13.2 Extension of Time Limit

(a) a student who is unable to submit a thesis within the prescribed time may apply inadvance for permission from the appropriate School Research Committee tosubmit late, if the student can provide good reason why the thesis cannot besubmitted in time,

(b) the application from the student should be made at least one month before thethesis is due to be submitted. It must be accompanied by a timetable showing indetail how the thesis will be completed within the additional time requested andby an explanatory statement from the Internal Supervisor,

(c) the appropriate School Research Committee may grant a full-time student up toa years’ extension and a part-time student up to two years’ extension beyond themaximum time limits for full-time and part-time students given in Regulation 13.1above, with a maximum of six months being granted to the student in the firstinstance,

(d) Students who are allowed additional time in which to complete their thesis mustenrol for the period of the extension and may continue as 'writing-up' studentsbeyond the writing-up time limit specified in Regulation 4.4 (c), without the needto provide clear reasons for doing so.

13.3 Time Limits if Transfer Between Full-time and Part-time Registration

Where a student transfers between full-time and part-time registration, the InternalSupervisor must propose the new time-limits and minima that should apply and submitthis for approval to the relevant School Research Committee. As a guideline, one yearof full-time registration is considered to be equivalent to two-years part-time registration.

13.4 Exceeding the Maximum Time Limits

Where the maximum time limits specified in Regulations 13.1 are exceeded without thegranting of an extension of time, the student will be required to pay the appropriatewriting-up fee in full for each of the subsequent part or full years. This will continue untilthe student is awarded a waiver of regulations and can submit or the student informs theUniversity of their intention to leave before submitting (see Regulation 12.1) or thestudent is suspended for non-payment of fees. If suspended, the suspension will have tobe lifted before the student can be awarded a waiver of regulations.

14. SUBMISSION OF THESIS BEFORE EXAMINATION

14.1 Required Documentation

Within the prescribed time-limits, the research student registered for the degree of MPhilor PhD shall present to the Registry, School or Programme Office as advised:

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(a) three unbound copies of an MPhil or PhD thesis produced in accordance withthe Regulations for the Presentation of MPhil and PhD Theses,

(b) two copies of the thesis summary in the format specified by their School,

(c) a signed statement by the student, countersigned by the Internal Supervisor and,where necessary, External Supervisor, clearly acknowledging those parts of thework described in the thesis which were done in collaboration (if any) and theextent of the student's contribution to those parts of the work, and confirmingthat the work has not been submitted for any other academic award,

(d) three copies of a typed list of formal coursework undertaken (whereappropriate) in the format required by their School.

14.2 Restriction of Access to Thesis

(a) access to the copy of the thesis placed in the University Library may berestricted for up to two years from the date of the award of the degree at therequest of the Internal Supervisor and student via the appropriate SchoolResearch Committee to the Senate. The request must state clearly the reasonsfor requiring restricted access to the thesis,

(b) restriction of access for a third year may only be granted in special circumstancesand will not be granted for more than three years from the date of the award ofthe degree,

(c) it is the responsibility of the Director of Research to safeguard any thesis lodgedwith the Director which is subject to a restriction of access.

14.3 Time between Submission and Oral Examination

The oral examination shall normally be within three months of the student submitting thethesis.

15. APPOINTMENT OF EXAMINERS

All Examiners' appointments must be approved by the Senate or by the Vice-Chancelloror Senior Pro-Vice-Chancellor on behalf of the Senate.

15.1 Normal Appointment of Examiners

Upon submission of the thesis the Examiners should be nominated by the InternalSupervisor and approved by the Research Committee in accordance with the followingrequirements:

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(a) one Internal Examiner and one External Examiner must be appointed for eachresearch student,

(b) the Internal Examiner must be a member of the full-time Academic Staff of theUniversity,

(c) the Internal Supervisor shall not normally be appointed as the Internal Examiner,

(d) if an Advisor was appointed when the student was registered with the InternalSupervisor, the Advisor may be appointed as the Internal Examiner,

(e) a member of the Academic Staff who leaves the University may not beappointed as an External Examiner within five years of leaving,

(f) an External Supervisor may not be appointed as an Examiner,

(g) an External Examiner should normally have previous experience of PhDsupervision or PhD examination.

15.2 Early Appointment

The Internal Supervisor may request on behalf of the student that the Examiners areappointed before the thesis has been submitted. The request must be accompanied bythe thesis summary and a statement by the student of the date by which the thesis will besubmitted.

15.3 Referee Examiner

If the Examiners are unable to agree upon a recommendation an External RefereeExaminer will be appointed by the Senate to make an independent report upon thethesis. (See Regulations 18.3 and 22.3).

15.4 Examiners for Academic Staff

Any student who at the time of submitting the thesis has been appointed as a member ofthe Academic Staff of the University, or who has only recently ceased to be a member ofthe Academic Staff of the University, must be examined by two External Examiners, inaccordance with the Special Regulations for Academic Staff Candidates.

15.5 Changing an External Examiner

The External Examiner may be changed up to the date of the viva following a submissionby the Director of Research for approval by the relevant School Research Committeeand the Senate, or by the Vice-Chancellor or Senior Pro-Vice-Chancellor on behalf ofthe Senate. The appointment of any replacement Examiner must be in accordance withRegulation 15.

16. ATTENDANCE AT THE ORAL EXAMINATION

(a) The Internal Supervisor is responsible for arranging the oral examination and fornominating the Examiners,

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(b) the following persons must attend the oral examination:

the Research studentthe Internal Examinerthe External Examiner.

The Internal Supervisor has the right to attend the oral examination andparticipate in discussions but may be requested to leave before any decision istaken, and should not sign any of the Examiners' reports or recommendations(see also Regulation 15.1(c) above),

(c) the Internal Supervisor may nominate any of the following persons to be presentat the oral examination:

the Advisor, if not appointed as Internal Examiner;the External Supervisor of an external student;a former Internal Supervisor who has recently left the University;an Associate Supervisor (if appointed),

(d) no other person may be present at the oral examination without obtainingpermission in advance from the Senate.

17. CONDUCT OF THE EXAMINATION

(a) Following their formal appointment each Examiner must be sent a copy of thethesis by the Academic Registrar. Before the oral examination each Examinermust read the thesis and submit an independent written report giving reasons forjudging the thesis satisfactory or unsatisfactory,

(b) an oral examination must then be held at which the Examiners test the student'sknowledge of the research upon which the thesis is based. The Examiners mustsubmit a joint written report on the student's performance at the oralexamination,

(c) if the examiners are satisfied with the thesis but not with the performance of thestudent at the oral examination, they may set the student a written examinationand make their final recommendation on the basis of the student's performance inthe written examination,

(d) all Examiners' reports must be submitted to the Senate or the Vice-Chancellor orSenior Pro-Vice-Chancellor on behalf of the Senate, via the AcademicRegistrar.

18. EXAMINERS' RECOMMENDATIONS

(a) All Examiners' recommendations must be submitted to the Senate or the Vice-Chancellor or Senior Pro-Vice-Chancellor on behalf of the Senate, via theRegistry,

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(b) each research student has the right to see the form on which the Examiners statetheir joint recommendation following the student’s oral examination. Researchstudents do not have the right to see the Examiners’ individual reports on theirthesis or oral examination,

(c) a student may obtain a copy of the Examiners’ joint recommendation relating tohis or her oral examination on application to the Registry. Alternatively, theInternal Examiner acting on behalf of the Academic Registrar, may provide theresearch student with a copy of the Examiners’ joint recommendation (only) atthe conclusion of the oral examination.

18.1 Satisfactory

(a) If the Examiners are satisfied with the thesis and with the student's performanceat the oral examination (or written examination, if Regulation 17(c) above isused), they must jointly recommend the award of the degree,

(b) the Examiners may not recommend the award of PhD to a student submitting athesis for the degree of MPhil or an MPhil or PhD to a student submitting a thesisfor the Master of Science by Research.

18.2 Unsatisfactory

If the Examiners are not satisfied with the thesis (irrespective of the student'sperformance at the oral examination), they must make one of the following jointrecommendations and inform the student accordingly:

(a) PhD Submission

(i) That the degree of PhD be awarded on completion of minor revisions,

(ii) that the student be permitted to submit a revised thesis for the degree ofPhD on the basis of existing work,

(iii) that the student be permitted to submit a revised thesis for the degree ofPhD on the basis of additional work,

(iv) that the degree of MPhil be awarded,

(v) that the degree of MPhil be awarded on completion of minor revisions,

(vi) that the student be permitted to submit a revised thesis for the degree ofMPhil,

(vii) that no degree be awarded.

(b) MPhil Submission

(i) That the degree of MPhil be awarded on completion of minor revisions,

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(ii) that the student be permitted to submit a revised thesis for the degree ofMPhil on the basis of existing work,

(iii) that the student be permitted to submit a revised thesis for the degree ofMPhil on the basis of additional work,

(iv) that no degree be awarded.

18.3 No Agreed Recommendation

If the Examiners are unable to agree upon one of the joint recommendations inRegulation 18.1 or 18.2 above, they must submit individual reports to the Senate throughthe Academic Registrar, making clear the reasons for their disagreement. (SeeRegulation 15.3).

19. COMPLETION OF MINOR REVISIONS

(a) Minor revisions to a thesis must be completed by the student in accordance withthe wishes of the Examiners within three months of the date of the oralexamination,

(b) the Examiners must confirm that the minor revisions have been completed to theirsatisfaction before their recommendation is forwarded to the Senate,

(c) the External Examiner may authorise the Internal Examiner to approve thestudent's completion of minor revisions.

20. MAJOR REVISION OF THE THESIS

(a) Major or extensive defects in the content or presentation of the research entailingresubmission of the thesis must be rectified within one year of the date of the oralexamination if to resubmit on the basis of existing work, or within two years ofthe date of the oral examination if to resubmit on the basis of additional work.These time limits are applicable to both full-time and part-time research students,

(b) the Examiners must provide the student with details of the required amendments,in writing, when making their recommendation to the Senate.

21. EXAMINATION OF A RESUBMITTED THESIS

The examination procedure must be as laid down in Regulations 16 and 17, exceptwhere modified by the following provisions:

(a) the resubmitted thesis must be examined by the previously appointed Examinersunless the Senate is satisfied that there is a sound case for the replacement of anyExaminer(s),

(b) the appointment of any replacement Examiner(s) must be in accordance withRegulation 15,

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(c) the Examiners may require the student to attend an oral examination on theresubmitted thesis.

22. EXAMINERS' RECOMMENDATIONS ON A RESUBMITTED THESIS

All Examiners' recommendations must be submitted to the Senate or the Vice-Chancellor or the Senior Pro-Vice-Chancellor on behalf of the Senate, via the Registry.

22.1 Satisfactory

(a) If the Examiners are satisfied with the revised thesis (and with the student'sperformance at the oral examination, if required, or written examination ifRegulation 17(c) is used), they shall jointly recommend the award of the degree,

(b) the Examiners may not recommend the award of PhD to a student submitting arevised thesis for the degree of MPhil.

22.2 Unsatisfactory

If the Examiners are not satisfied with the thesis (irrespective of the student'sperformance at the oral examination, if required), they shall make one of the followingrecommendations:

(a) Resubmission for PhD

(i) That the degree of PhD be awarded on completion of minor revisions,

(ii) that the degree of MPhil be awarded,

(iii) that the degree of MPhil be awarded on completion of minor revisions,

(iv) that no degree be awarded.

(b) Resubmission for MPhil

(i) That the degree of MPhil be awarded on completion of minor revisions,

(ii) that no degree be awarded.

22.3 No Agreed Recommendation

If the Examiners are unable to agree upon one of the joint recommendations inRegulation 22.1 or 22.2 above, they must submit individual reports to the Senate throughthe Registry, making clear the reasons for their disagreement. (See Regulation 15.3).

23. SUBMISSION OF THESIS FOLLOWING EXAMINATION

23.1 Required Documentation

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(a) After the oral examination, the student must submit to the Registry or School orProgramme office two copies of the thesis, bound in the manner prescribed inRegulation 4.2 of the Special Regulations for the Presentation of MPhil and PhDTheses and, for the degree of PhD but not MPhil, one unbound copy of thethesis for the British Library, each of which must incorporate any revisionsrequired by the Examiners,

(b) the copies of the thesis must be accompanied by a signed statement from theInternal Examiner certifying that they are identical versions of the work assessedby the Examiners, except where revisions were made at their request.

23.2 Distribution of Theses

(a) Successful Candidates

(i) One bound copy of each thesis judged worthy of the award of a higherdegree will be placed in the University Library, the second copy will beretained by the Director of Research in the School concerned,

(ii) the additional unbound copy of each approved PhD thesis will besubmitted to the British Library Document Supply Centre, together witha completed Doctoral Thesis Agreement Form.

(b) Unsuccessful Candidates

At least two copies of the thesis will be returned to the student.

24. AWARD OF DEGREE

The Senate, upon receipt of reports and satisfactory recommendations from all theExaminers, together with confirmation that all the requirements listed in Regulation 1.3have been met by the student, shall approve the award of the degree.

25. WAIVERS OF REGULATIONS

Where in the opinion of the appropriate School Committee exceptional circumstanceshave adversely affected a research student which could not reasonably have beenforeseen, the Quality and Standards Committee of the Senate may waive any relevantpart of these Regulations on such conditions as it may deem fit.

(a) Applications for waivers of Regulations affecting the examination procedureshould be submitted to the School Administrator on behalf of the student by theExaminers, if appointed, otherwise the Internal Supervisor, to the Quality andStandards Committee of the Senate,

(b) applications for waivers of Regulations relating to all other matters should besubmitted to the School Administrator on behalf of the student by the InternalSupervisor, to the Quality and Standards Committee of the Senate,

(c) applications for a waiver of Regulation 13 to allow a student additional time inwhich to submit a thesis (over and above the extra year allowed under

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Regulation 13.2(a) or the extra two years allowed under Regulation 13.4(c))should be made by the Internal Supervisor and student to the appropriate SchoolResearch Committee at least one month before the due date for the submissionof the thesis,

(d) the request must also be accompanied by a clear explanation as to why theoriginal timetable was not adhered to, and a new timetable showing how thethesis will be completed within the additional time requested.

26. COMPLAINTS BY RESEARCH STUDENTS

(a) Research students who are dissatisfied with their conditions of work or thequality of their supervision should wherever possible discuss the difficulties withtheir Internal Supervisor,

(b) if a research student prefers not to discuss the complaint with the InternalSupervisor, the student should approach the Director of Research or theirnominee,

(c) if the Internal Supervisor or Director of Research does not resolve the student'sdifficulties, the student should submit written details of the complaint to therelevant School Research Committee, through the School Administrator,

(d) the School Committee must then invite comments from the Supervisor(s) andDirector of Research and may invite the student to submit additional information,

(e) after discussion, at which any members directly connected with the complaint(including the Internal Supervisor) should not be present and at least twoAcademic Staff from at least one other School should be present, the SchoolCommittee must make a clear recommendation to the relevant School Board,

(f) the research student and staff concerned with the complaint must be informed ofthe School Committee's recommendation before the School Board meeting andmay respond in writing to the Chairman through the School Administrator. Thestudent and staff concerned with the complaint must be given a minimum of tendays notice if a full-time student or twenty days notice if a part-time student, ofthe School Board meeting,

(g) the School Board, on consideration of the School Committee's recommendationand any responses from the student or staff concerned, must either uphold therecommendation or refer the matter to the School Committee for furtherconsideration,

(h) it is the responsibility of the research student to advise the Examiners, in writingbefore the final oral examination, of any factors which may affect the student'sperformance in any way,

(i) if the student is dissatisfied with the outcome of the School meeting she/he mayrefer the complaint to the Senior-Pro-Vice Chancellor under the proceduresdetailed in the University stage of the Student Complaints Procedures, copies ofwhich are available from the University Registry,

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(j) no complaints will be considered once the thesis has been submitted, but seeRegulation 27 below concerning appeals.

27. APPEALS BY RESEARCH STUDENTS

A student wishing to appeal against a decision of the Examiners may appeal on thegrounds set out in the University Academic Appeals Procedures, copies of which areavailable from the University Registry. There is no right of appeal against the academicjudgement of examiners.

28. PLAGIARISM AND FRAUD

The University defines plagiarism as a form of cheating in which a student uses, withoutacknowledgement, the intellectual work of other people and presents it as his or herown. Collusion is defined as being where two students have worked together toproduce a piece of work which is then submitted for assessment as the work of only oneof the students. Cases of alleged plagiarism and collusion are dealt with under theUniversity's Code of Practice for Dealing with Cases of Alleged Plagiarism. Any otherinstance of alleged fraud, such as the falsification of research results, is considered underthe University Regulations for the Discipline of Students, copies of which are availablefrom the University Registry.

RPS/ SJD September1999