REGULATIONS FOR THE DEGREE
OF PhD
Postgraduate Office
March 2007
1
Regulations for the Degree of PhD (excluding taught and practice-based
doctorates)
1. General
1.1 All students enrolled for research are bound by these regulations and by
the General Regulations for All University Courses and the Rules of
Discipline (General Regulations).
1.2 During the development of these regulations, cognisance was taken of the
QAA Code of Practice Section 1: Postgraduate Research Programmes.
1.3 All research students must comply with relevant health and safety
legislation, University health and safety regulations, and any specific
health and safety requirements applying in the School where the research
is being undertaken or in any location – including locations outside the
University – where the student is undertaking research.
1.4 All research students must comply with the requirements of the
University’s Code of Good Conduct in Research.
1.5 Full-time research students may not engage in any employment which is
likely to interfere with the progress of their research. Students must inform
their principal supervisor about the extent of their employment
commitments.
2. Requirements for the degree of PhD
2.1 To qualify for the award of the degree of Doctor of Philosophy (PhD),
candidates must satisfy the examiners that their thesis and their defence
of the thesis in a compulsory oral examination meet the criteria in 2.2 and
2.3 below, which reflect the guidance provided in the Framework for
Higher Education Qualifications in England, Wales and Northern Ireland.
2.2 A satisfactory thesis must:
(a) embody the results of research which make a distinct contribution to
scholarship and afford evidence of originality as shown by the
discovery of new facts, the development of new theory or insight or
by the exercise of independent critical powers; and
(b) contain an acceptable amount of original work by the candidate.
This work must be of a standard which could be published, either in
the form of articles in appropriate refereed journals or as the basis
of a book or research monograph which could meet the standards
of an established academic publisher; and
2
(c) provide evidence that the candidate is capable of pursuing
independent research in the field of study and of exercising critical
judgement; and
(d) be written to a standard acceptable for academic and professional
communication. Normally the language of the thesis will be English
(see 16.2 below).
2.3 In interpreting these criteria, examiners are expected to take cognisance
of the guidance provided in the Framework for Higher Education
Qualifications in England, Wales and Northern Ireland, which advises that
doctorates will be awarded to students who have demonstrated:
i) 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;
ii) 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;
iii) 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;
iv) a detailed understanding of applicable techniques for research and
advanced academic enquiry.
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.
3
2.4 To satisfy the examiners in the oral examination, the candidate must
defend the contents of the thesis, demonstrate an understanding of
research methods appropriate to the chosen field and show adequate
knowledge of the literature of the subject and of the work of other scholars
in the field.
3. Postgraduate Committees
3.1 Each School shall establish a School Postgraduate Research Committee.
It shall be chaired by the Head of School and include at least six
members of academic staff from the School, including at least one
Director of Research and one Director of Education, and two
representatives of the postgraduate research students of the School. It
shall be responsible for admission of research students, appointment of
supervisors and examiners, decisions about differentiation, monitoring of
progress, and any other functions contained in these regulations. School
Postgraduate Research Committees shall report their decisions and
relevant business to the Postgraduate Office which will monitor the reports
for quality assurance purposes.
3.2 The University Postgraduate Appeals Committee (see section 22.1) shall
consider appeals and complaints from research students. It shall comprise
one of the Pro-Vice-Chancellors (or their nominee) as the Chair and four
Directors of Research selected on a University-wide basis.
4. Admission
4.1 All candidates wishing to apply for postgraduate research must complete
the University’s postgraduate application form and return it to the
Admissions Office.
4.2 Applications are considered by the School which shall have overall
responsibility for the admission of students, and Heads of School are
responsible for ensuring that suitable arrangements for postgraduate
admissions are in place in their School. Admissions decisions will involve
at least two members of the School’s staff, who will make their decisions
in accordance with the criteria and procedures outlined in the University’s
Guidelines on Selection and Admission, and will be approved by the Head
of School. This may include provision for interviewing candidates. In
considering applications, the School shall take into account:
(i) the applicant’s academic qualifications. By the start of the research,
a candidate must hold or have qualified for a degree of this
University, or any university or other institution approved by the
Academic Council, or a qualification which is approved by the
Academic Council as being a suitable alternative to a primary
4
degree. Relevant publications or achievements by the candidate
may also be considered as additional evidence of suitability for
admission. The normal minimum requirement for admission is
upper second class honours, or equivalent;
(ii) referees’ reports on the applicant;
(iii) the availability of evidence (from candidates who are not native
English speakers) of proficiency in English, in the form of one of the
qualifications recommended by the Admissions Office;
(iv) whether the proposed programme of research can be studied to the
depth required to obtain the degree of PhD;
(v) the likelihood that the proposed programme of research can be
completed within the time to be designated for it;
(vi) whether there is at least one appropriate supervisor with relevant
knowledge of the proposed field of research, and whether proper
supervision can be provided and maintained throughout the
research period, including during any periods of absence of the
supervisor(s) or time spent away from the University by the student;
(vii) the availability of the necessary resources (e.g. library, computing
and laboratory facilities, technical assistance, running costs); and
(viii) the student’s funding arrangements.
Applicants will not be admitted if appropriate supervision, resources and
facilities cannot be provided.
4.3 The School shall forward confirmed decisions to the Admissions Office.
4.4 The Admissions Office shall formally notify students of the outcome of
their applications. It shall advise successful applicants that they are
responsible for ensuring that they meet the financial requirements and
have the necessary resources to cover fees and maintenance for the
duration of the course.
4.5 The University welcomes and encourages applications from students with
disabilities, and is committed to improving the range of services and
facilities available to support them. The University may write to applicants
who have indicated that they have a disability, asking for more information
about the disability. This information shall be treated as sensitive
information and kept strictly confidential, and shall be used only to plan for
students’ individual support requirements.
5. Registration
5.1 All students must register at the start of research and at the beginning of
every subsequent academic year. Registration in the second and
subsequent years is subject to satisfactory progress reports (see section
11).
5
5.2 Any student who has not previously matriculated shall be required to do so
when enrolling for the first time.
5.3 Research students may not normally register for any other course of study
leading to a degree, diploma or professional qualification, at this or any
other institution, while they are registered as research students. In
exceptional circumstances, and only with the agreement of the
supervisor(s), the Head of School may grant such permission, normally for
a short fixed period of time.
5.4 Registration may be on a full-time, a part-time or a thesis-only basis. For
the purposes of assessing the status of research students, the term 'year'
means a consecutive 12-month period, normally running from the start of
the academic year in September.
(a) Full-time
A student’s registration for a given year shall be recorded as full-
time, and the student shall be liable for the full-time fee, if in the
course of that year the student is required to undertake periods of
study, tuition or work experience (whether at University premises or
otherwise) which together amount to an average of at least 21
hours a week over a period of more than 18 weeks.
(b) Part-time
A student’s registration for a given year shall be recorded as part-
time, and the student shall be liable for the part-time fee, if over the
course of that year the student is able to devote less than 21 hours
per week over a period of more than 18 weeks to the research.
(c) Thesis-only
Registration for the year in question shall be recorded as thesis-
only (writing-up), and the student shall be liable for a reduced fee, if
the student has completed the necessary research and is engaged
in the preparation of a thesis. Thesis-only enrolment is permitted for
one year only, after which enrolment will revert to either full-time or
part-time and the student will be required to pay the appropriate
fee. A student may not register as thesis-only without the
permission of the School Postgraduate Research Committee.
Permission will be granted only if the supervisor(s) confirm that the
student has completed all the necessary research (which might
include laboratory work). Students may not transfer to thesis-only
registration until they have been enrolled for the equivalent of three
full-time years.
5.5 A student who has registered for a particular year as full-time, part-time or
thesis-only, must apply through his/her supervisor(s) to the School
6
Postgraduate Research Committee for permission for any change in
registration during that year.
6. External students and students working away from Queen’s
6.1 Students shall normally be in regular attendance at the University and
have regular meetings with their supervisor(s) while registered as
research students.
6.2 Students may, however, apply to the School Postgraduate Research
Committee for permission to spend part or all of the period of research
working away from the University. The School Postgraduate Research
Committee shall grant permission only if it is satisfied that suitable
arrangements for support, supervision and training are in place, and that
the necessary resources are available at the student’s location.
6.3 Permission to spend the whole period of research away from Queen’s will
not normally be granted, and students shall normally be required to spend
a minimum of the equivalent of one semester (full-time) in residence at the
University during the period of the research. A School Postgraduate
Research Committee may reduce the period of residency where it is
satisfied that suitable alternative arrangements are in place, or it may
increase the minimum period where there are academic grounds for doing
so.
6.4 The principal internal University supervisor will have overall responsibility
for the research, and the student will be expected to maintain contact with
the University supervisor(s) in the normal way during any period spent
away from the University. If appropriate, an external supervisor may be
appointed. If an external supervisor is appointed the student will be
expected to maintain effective contact with both the external supervisor
and the internal supervisor(s).
6.5 Students remain subject to University regulations, including the
requirements to complete a progress monitoring form each year and to go
through the differentiation procedure, during any period spent away from
the University.
7. Induction and training
7.1 All new research students will be provided at induction with a copy of the
University’s Notes of Guidance for Research Students, the postgraduate
regulations and the University’s Policy Statement on Provision for
Research Students.
7
7.2 New research students shall attend the University Induction session for
full-time or for part-time students, as applicable, and must comply with any
additional arrangements for induction that apply in their School.
7.3 Students shall comply with the University’s training requirements, the
training requirements of their funding body and with any compulsory or
recommended training requirements in place in their School.
7.4 Both full-time and part-time research students must agree a research plan
with their supervisor(s) at the outset of the research and shall attend
courses and perform research work as specified in the research plan.
8. Supervision
8.1 Every registered research student in the University must have a principal
supervisor and a second supervisor will normally be appointed in a
supporting role. A third supervisor may, exceptionally, be appointed where
a student’s research is interdisciplinary, to provide a link between the
disciplines. In no circumstances may a student have more than three
supervisors at any one time. The principal supervisor shall have overall
responsibility for the student and the research.
8.2 School Postgraduate Research Committees shall appoint supervisors.
8.3 At least one of the student’s supervisors shall have successfully
supervised a PhD thesis to completion, either individually or as part of a
supervisory team.
8.4 At least one member of the supervisory team will be currently engaged in
research in the relevant discipline(s), so as to ensure that the direction
and monitoring of the student's progress is informed by up to date subject
knowledge and research developments.
8.5 The following categories of staff are eligible to be considered for
appointment as principal supervisors: professors, readers, senior
lecturers, lecturers (but not lecturers on probation) and research staff in
research grades III and IV. The principal supervisor must be from the
School where the student is carrying out the research. Staff in the
University Colleges may be appointed as supervisors under the terms of
the Agreements between the University and the University Colleges (see
8.9 below).
8.6 The following categories of staff are eligible to be considered for
appointment as second supervisors: those listed in 8.5 above, plus
lecturers on probation who have completed the University’s training
course for supervisors, appropriately qualified and experienced research
staff in research grades I and II who have completed the University’s
8
training course for supervisors, honorary professors, honorary readers,
honorary senior lecturers and honorary lecturers. The second supervisor
may, if appropriate, be from a different School to the one in which the
student is working.
8.7 Staff on fixed term contracts are eligible to be considered for appointment
as second supervisors, provided they fall into one of the categories of staff
listed in 8.6 above. Staff on fixed term contracts may be appointed as
principal supervisors only in exceptional circumstances.
8.8 School Postgraduate Research Committees may appoint those teachers
in recognised colleges specifically recognised to supervise research
students as supervisors.
8.9 Staff in the University Colleges are eligible, under the terms of the
Agreements between the University and the University Colleges, to be
considered for appointment as supervisors for research students.
Nominations are made to the School Postgraduate Research Committee,
which will consider nominations of University staff and College staff on an
equal footing and using the same criteria. In matters of research
supervision, the Head of the School and is the supervisor’s line manager.
Any difficulties in the supervisory relationship will be dealt with in the same
way as if the supervisor were a member of University staff, using the
procedures set out in section 21 below.
8.10 In exceptional circumstances, a supervisor who does not fall into any of
the preceding categories may be appointed.
8.11 External supervisors are normally only appointed where a student has
been given permission to work away from the University for an extended
period, or is undertaking an external PhD (see 6.4 above). The external
supervisor will be in addition to the internal supervisor(s), who must meet
the criteria for appointment set out in 8.5 and 8.6 above. The student will
be expected to maintain effective contact with both the external and the
internal supervisors. The principal supervisor retains overall responsibility
for the supervision of the research.
8.12 A supervisor may not normally be the principal supervisor for more than
six full-time research students (or equivalent) at any one time.
8.13 If for any reason a principal supervisor will be unavailable for contact by a
student for a significant period which impinges negatively on the progress
of the student’s project, a permanent replacement should normally be
appointed as a main supervisor.
9
8.14 If for any reason a change of supervisor(s) is required during the period of
the research, the above procedures apply to the appointment of the new
supervisor(s).
9. Initial Review
The Head of School shall review with supervisors the feasibility of the
project and the research plan, taking into account the required timeframe
for the degree, normally within three months of first registration.
10. Differentiation
10.1 New research students wishing to proceed to PhD study shall register as
undifferentiated research students in the first instance and shall be
considered by their school for differentiation to PhD registration as follows:
(a) full-time students: not less than six months and normally not later
than nine months after first enrolling for research, and within an
absolute deadline of 16 months from first registration;
(b) part-time students: not less than 12 months and normally no more
than 18 months from first registration for research, and within an
absolute deadline of 30 months from first registration.
10.2 The Head of School shall appoint a suitable differentiation panel for each
student: this shall normally comprise at least three members, the majority
of whom shall be independent of the supervisory team.
10.3 The differentiation panel shall consider the student’s suitability to proceed
towards registration for the degree of PhD, on the basis of a written
submission from the student, an interview, the student’s research plan
(see 7.4 above) and his/her training record. A student who has not
completed training requirements to the panel’s satisfaction shall not be
permitted to differentiate. The panel shall forward recommendations,
including any recommendations that a student should not be permitted to
differentiate to PhD status, to the School Postgraduate Research
Committee immediately.
10.4 The School Postgraduate Research Committee will consider panel
recommendations and will invite any student who has not been
recommended for PhD registration to appear before it before the decision
is confirmed. The School Postgraduate Research Committee shall report
its decisions to the Examinations Office and Postgraduate Office.
10.5 School Offices are responsible for ensuring that students are notified in
writing of whether or not they have successfully differentiated.
10.6 A panel may recommend that a student be permitted a second attempt at
differentiation within a specified time period. Students may not normally
10
make more than two attempts at differentiation. In exceptional
circumstances, the School Postgraduate Research Committee may permit
a third attempt.
10.7 A student who is dissatisfied with the outcome of the differentiation
procedure may appeal to the University Postgraduate Appeals Committee
(see section 22).
11. Progress monitoring
11.1 All research students are subject to the requirements of the University’s
progress monitoring exercise.
11.2 The first review will be completed within 12 months of the student’s first
registration, normally in August/September of the first year. Subsequent
reviews will take place at annual intervals throughout the period of
registration, normally in June/July/August each year. A School
Postgraduate Research Committee may specify more frequent reviews at
its discretion. Registration at the beginning of an academic year is
dependent on the completion of a satisfactory report form at the end of the
previous academic year.
11.3 The student must complete Section A of the Progress Monitoring Form
and submit the form to the principal supervisor, who (in consultation with
the co-supervisor, where applicable) will complete Section B and make
one of the following recommendations:
In the case of an undifferentiated research student
(i) that the student has gone through the School’s differentiation
procedure (see 10 above) and has been recommended for PhD
registration;
(ii) that the student is ready to go through the School’s differentiation
procedure (see 10 above);
(iii) that the student’s registration as an undifferentiated research
student be continued for another specified number of months and
reviewed again;
(iv) that the student be given permission to register for a master’s
degree;
(v) that the student’s registration be discontinued.
In the case of a student already registered for a PhD
(vi) that the student’s registration be continued;
(vii) that the student’s registration be changed to registration for a
master’s degree;
(viii) that the student’s registration be discontinued.
11.4 Where there are two supervisors, both shall sign the progress monitoring
form. The supervisor(s) shall show the student the completed Section B
11
and the recommendation, and shall then submit the completed form, to the
School Postgraduate Research Committee.
11.5 Where the recommendation is unfavourable, the student and the
supervisor(s) shall be invited to appear before the School Postgraduate
Research Committee before the decision is confirmed. An unfavourable
recommendation is defined as one that downgrades or discontinues the
student’s registration, or that prevents a student who wishes to upgrade to
PhD status from doing so. The Committee shall confirm its decision to the
student and the supervisor(s) in writing after the meeting.
11.6 If a School Postgraduate Research Committee decides, in any
circumstances not covered in 11.5 above, not to endorse the supervisory
recommendation, the supervisor(s) shall be given the opportunity to
appear before the Committee before a final decision is reached.
11.7 A student who is dissatisfied with the outcome of the progress monitoring
exercise may appeal to the University Postgraduate Appeals Committee,
following the procedures set out in section 22 below.
11.8 A supervisor who has concerns about a student’s progress should bring
this to the immediate attention of both the student and the Head of School
without waiting for the next formal progress monitoring exercise to take
place.
12. Time allowed for completion
12.1 Time spent in achieving a master’s degree does not count as part of the
time allowed for completion of a PhD.
12.2 Full-time students
Maximum: full-time students must normally submit a thesis for
examination within three years of first registration as an undifferentiated
research student. The School Postgraduate Research Committee may
grant an extension of time so that the thesis is submitted within four years
of the date of first registration as an undifferentiated research student. In
exceptional circumstances an extension beyond four years may be
allowed.
Minimum: full-time students may not submit a thesis within two years of
the date of first registration as an undifferentiated research student.
12
12.3 Part-time students
Maximum: part-time students must normally submit a thesis for
examination within six years of first registration as an undifferentiated
research student. The School Postgraduate Research Committee may
grant an extension of time so that the thesis is submitted within eight years
of the date of first registration as an undifferentiated research student. In
exceptional circumstances an extension beyond the eighth year may be
allowed.
Minimum: a part-time student may not submit a thesis within four years of
the date of first registration as an undifferentiated research student.
Special arrangements apply to part-time research students who are
employed by the University as contract research assistants. Provided they
have the support of their supervisor and the approval of the School
Postgraduate Research Committee, such students may submit after a
minimum period of three years from the date of first registration as an
undifferentiated research student.
12.4 Transfers between full-time and part-time registration
For students transferring from full-time to part-time registration, and vice
versa, one unit’s full-time registration is considered equivalent to two units’
part-time registration.
13. Temporary withdrawal from research
13.1 The School Postgraduate Research Committee may permit a student to
withdraw temporarily from research for a period of up to one year at a
time, up to a maximum of four years, where it is satisfied that good cause
exists or continues to exist.
13.2 Before granting such permission, the Committee will seek confirmation
that the student’s funding body (where applicable) has agreed to a period
of temporary withdrawal. The Committee may authorise a temporary
withdrawal on academic grounds where the funding body has turned down
the request, but will advise the student that temporary withdrawal will lead
to the loss of his or her funding.
13.3 A period of temporary withdrawal agreed under 13.1 above does not count
as part of the time allowed by the University for completion, and the
student is not liable for any fees for such an agreed temporary withdrawal.
13.4 Students must seek permission to withdraw temporarily or to extend a
period of temporary withdrawal as far in advance as possible. Applications
must be made in writing to the School Postgraduate Research Committee
through the student’s principal supervisor.
13
13.5 A student who does not re-register at the appropriate time and who does
not seek permission to withdraw temporarily shall be deemed to have
withdrawn from the University. A student who is dissatisfied with such a
ruling can appeal to the Postgraduate Appeals Committee (see section
22).
14. Research misconduct
14.1 Research students must comply with the University’s Code of Good
Conduct in Research, any procedures on research ethics applying in their
discipline, and must obtain, through their supervisor(s), any necessary
ethical approval for the research.
14.2 The University defines research misconduct as behaviour by research
students, intentional or not, that falls short of good scholarly standards.
Examples of behaviour that constitute research misconduct include
plagiarism, fraud, breach of confidentiality and negligence.
14.3 A PhD thesis must not exhibit plagiarism, defined as the presentation of
the work of others as the writer’s own without appropriate
acknowledgement. A thesis must also not present data that are
fraudulently generated.
14.4 A supervisor, examiner or other member of staff who discovers evidence
of plagiarism, fabrication of results or other research misconduct in a
student’s work shall report the matter immediately to the Head of School.
The Head of School shall investigate the matter: this may include
scrutinising the documentary evidence, and interviewing the student and
supervisor(s). If the student is required to attend an interview, he/she shall
have the right to be accompanied by a member of University staff, a
registered student of the University, a sabbatical officer of the Students’
Union or a University chaplain.
14.5 Following the investigation, the Head of School or nominee may:
(i) dismiss the case; or
(ii) issue the student with a written warning; or
(iii) refer the matter back to the supervisor(s), who shall provide the
student with the necessary advice and guidance to ensure that the
problem does not recur. This shall include re-advising the student
of the academic conventions with regard to referencing, reporting of
results, etc., applying in the discipline. The student may also be
issued with a written warning (see (ii) above); or
(iv) refer the matter to the Academic Offences Committee (see General
Regulations, where the Head of School believes the offence to be
sufficiently serious.
14
14.6 The procedures for the Academic Offences Committee are set out in the
regulations for dealing with academic offences (see General Regulations).
The options open to the Committee in the case of a research student shall
include:
(i) to dismiss the case;
(ii) to refer the matter back to the School to provide the student with
support and guidance;
(iii) to direct that the offending material be removed from the thesis or
draft thesis, and that the student carry out such further work as is
necessary to replace it;
(iv) to recommend to the School Postgraduate Research Committee
that the student be required to withdraw from research; or
(v) to recommend to the examiners that no degree be awarded.
15. Notice of intention to submit
15.1 Candidates must give written advance notice to the School Postgraduate
Research Committee of intention to submit the thesis. To allow the thesis
to be examined in time for graduation at a particular date, the deadlines
for notice of submission and submission of a thesis are as follows:
Graduation Notice Submission of th
July 1 February 1 May
December 1 May 15 September
A candidate must be registered as a research student in the academic
year in which the thesis is submitted.
15.2 The supervisors’ assent to the proposed submission date and to the
submission itself is normally required. Where the student and
supervisor(s) disagree as to whether or not the thesis is ready for
submission, the principal supervisor shall notify the Head of School.
15.3 A candidate who fails to submit the thesis by the notified date must notify
the School Postgraduate Research Committee of a new date of
submission, after consultation with the supervisor.
16. Title and format of thesis
16.1 The candidate shall specify the title of the thesis when giving notice of
intention to submit. The title may not be changed thereafter, except with
the permission of the School Postgraduate Research Committee.
16.2 Normally all theses must be written in English. Students may, however,
apply to the School Postgraduate Research Committee at the time of
registration to write a thesis in a language other than English where the
language is relevant to the subject of the research. Where permission is
15
given to write in a language other than English the summary of the thesis
(see regulation 16.5) and its title must be given both in English and the
approved language.
16.3 Theses must not normally exceed 80,000 words (excluding appendices
and the bibliography). Where a thesis has a significant content of graphs,
diagrams, scientific formulae, etc., a page limit of 400 single-sided A4
pages will apply instead of the word limit.
16.4 The layout of the thesis must conform to the format prescribed by the
Examinations Office. The thesis must be bound in a secure binding of a
type approved by the Student Records and Examinations Officer* when it
is submitted for examination.
16.5 The first page of the thesis must give the author’s full names, degrees,
School and the approved title of the thesis, the degree for which it is
offered and the date. The candidate must also submit a short summary of
the thesis on the form available from the Examinations Office.
17. Procedure for submission
17.1 The candidate must submit to the Examinations Office sufficient copies of
the thesis (normally two) for the internal and external examiners.
17.2 On submitting a thesis, the candidate must sign a statement that:
(i) the thesis is not one for which a degree has been or will be conferred
by any other university or institution;
(ii) the thesis is not one for which a degree has already been conferred
by this University;
(iii) the work for the thesis is the candidate’s own and that, where
material submitted by the candidate for another degree or work
undertaken by the candidate as part of a research group has been
incorporated into the thesis, the extent of the work thus incorporated
has been clearly indicated;
(iv) the composition of the thesis is the candidate’s own work.
18. Appointment of examiners
18.1 School Postgraduate Research Committees shall appoint examiners.
There shall be at least one internal and one external examiner.
18.2 Only persons of seniority and experience who are able to command
authority within the area of research concerned shall be appointed as
examiners. External examiners from outside the higher education system,
for example from industry or the professions, are appropriate in certain
circumstances.
16
18.3 An external examiner must not have been a member of staff or a student
of the University at any time during the three years prior to appointment.
The external examiner shall not have collaborated in research with the
student at any time, or have any links – including personal links – with the
student which could be perceived to influence his/her judgement.
18.4 An external examiner who has been retired for more than one year by the
date of submission shall not normally be appointed, unless in exceptional
circumstances and where there is clear evidence that the proposed
examiner continues to be active in research.
18.5 The internal examiner shall be appointed from amongst the professors,
readers, senior lecturers, lecturers and research staff on research grades
III and IV of the University. Lecturers on probation may not be appointed
as internal examiners. Recognised teachers may be appointed as internal
examiners in the Institute of Theology. In exceptional circumstances,
honorary professors, readers, senior lecturers or lecturers may be
appointed as internal examiners in Medicine & Life Sciences.
18.6 The principal or second supervisor (or any other supervisor) may not be
appointed as an examiner. In exceptional circumstances researchers who
have had a substantial direct involvement in the student's work or whose
own work is the focus of the research project may be appointed as an
examiner.
18.7 Where the candidate is a member of teaching staff of lecturer level or
above, or in any other case where personal interest might be involved, a
second external examiner must be appointed. The two external examiners
must each come from different institutions or organisations.
19. The examination process
19.1 The Examinations Officer shall send each of the examiners a copy of the
thesis and the statement and declaration made by the candidate (see
regulation 17.2 above). The examiners shall each prepare an independent
report on the thesis before the oral examination.
19.2 There shall be an oral examination, attended by the internal and external
examiners and chaired by an independent Director of Research. The
independent Chair will take no active role in the process and will be in
attendance only for the purpose of monitoring the conduct of the
examination. In exceptional circumstances, the School Postgraduate
Research Committee may waive the requirement to hold the oral
examination but only at the written request of the candidate and with the
agreement of the examiners.
17
19.3 The oral examination shall take place in the University. In exceptional
circumstances, and at the written request of the candidate, the School
Postgraduate Research Committee may grant permission for an oral
examination to be held elsewhere, or for it to be held via telephone- or
video-conferencing.
19.4 The student and the examiners may not communicate with each other
about the thesis before the oral examination.
19.5 One of the student’s supervisors may attend the oral solely to provide
assistance to the examiners should they require it. The supervisor can
take no part in the examination of the candidate. The student shall have
the right to request that the supervisor not be present at the oral
examination. Where there is more than one supervisor, the student and
the supervisors shall agree in advance which supervisor will attend the
oral.
19.6 After the oral examination, the examiners must send the Student Records
and Examinations Officer* all the independent reports plus a joint report
which includes one of the following recommendations:
(i) that the degree of PhD be awarded for the thesis as it stands;
(ii) that the degree of PhD be awarded subject to minor adjustments
being made to the thesis. Minor adjustments are defined as
adjustments which are, in the view of the examiners, capable of
completion within three months. The three month period dates from
when the examiners notify the student in writing of the adjustments
required: this must reach the student within two weeks of the oral
examination;
(iii) that the thesis be revised and re-submitted for the degree of PhD at
a later date. The examiners must indicate whether or not another
oral examination will be required. Students are normally only
permitted to revise and re-submit a thesis once, not counting minor
adjustments under (ii) above;
(iv) that a master’s degree be awarded for the thesis as it stands;
(v) that a master’s degree be awarded subject to minor adjustments
being made to the thesis, as defined in (ii) above;
(vi) that the thesis be revised and re-submitted for a master’s degree at
a later date, with or without another oral examination. The
examiners must indicate whether or not another oral examination
will be required;
(vii) that no degree be awarded.
19.7 If the examiners cannot reach agreement on a recommendation, the
internal examiner shall notify the Chair of the School Postgraduate
Research Committee, who shall arrange for an additional external
examiner to be appointed following the procedures set out in section 18
18
above. The additional external examiner shall be informed that the original
examiners have been unable to reach agreement and shall be sent the
independent reports. The decision of the new external shall be final.
19.8 The Head of School and the Examinations Officer shall sign off the report
as confirmation that the correct procedures have been followed.
19.9 The Examinations Officer shall notify the candidate in writing of the official
examination result, once the report has been signed off, and shall send
the candidate a copy of the examiners’ report on the thesis.
19.10 Candidates have the right to appeal against recommendations (iv) to (vii)
above, following the procedures set out in section 22 of the regulations.
20. Re-submissions
20.1 When they recommend a re-submission (other than for minor
adjustments), the examiners shall also set a deadline by which the revised
thesis must be re-submitted. Requests for extensions to this deadline
shall only be considered in very exceptional circumstances, and require
the agreement of the examiners. The School Postgraduate Research
Committee shall deal with any such requests.
20.2 The examiners shall indicate whether or not a second oral examination will
be necessary. A further oral shall be required, notwithstanding the content
of the first report, should the recommendation after the re-submission of
the thesis be that no degree be awarded or that a master’s degree be
awarded in lieu of the PhD.
20.3 The same examiners as for the original submission shall examine the re-
submission. They shall be re-appointed following the appointment
procedures set out in section 18.
20.4 The recommendations available to the examiners for a re-submission are
as follows:
(i) that the degree of PhD be awarded for the thesis as it stands;
(ii) that the degree of PhD be awarded subject to minor adjustments
being made to the thesis. Minor adjustments are defined as
adjustments which are, in the view of the examiners, capable of
completion within three months. The three-month period dates from
when the examiners notify the student in writing of the adjustments
required: this must reach the student within two weeks of the oral
examination;
(iii) that a master’s degree be awarded for the thesis as it stands;
(iv) that a master’s degree be awarded subject to minor adjustments
being made to the thesis, as defined in (ii) above;
19
(v) that no degree be awarded.
20.5 Any decision to fail a re-submitted thesis, including a thesis re-submitted
for minor modifications under 19.6(ii) above, shall be signed off by both
the internal and external examiners.
20.6 Candidates have the right to appeal against recommendations (iii) to (v),
following the procedures set out in section 22 of the regulations.
21. Student complaints
21.1 Matters directly related to a student’s postgraduate research (e.g.
supervision, training, facilities) do not fall within the scope of the Student
Complaints Procedure and should be dealt with as described below.
21.2 Students are expected to discuss issues with one or both of their
supervisors in the first instance, where possible. If the supervisors cannot
resolve the matter, either the student, or the supervisors acting on his or
her behalf, or the student and the supervisors acting together, should raise
the matter with the Head of School or School’s representative on the
Postgraduate Advisory Body.
21.3 If this does not lead to a satisfactory resolution, the student should write to
the Dean, who shall investigate the complaint. The student shall be given
the opportunity to appear before the Dean and a panel of up to four other
members of academic staff from outside the relevant School, including at
least one Director of Research. The panel will have a quorum of at least 3
members including the Dean and a Director of Research. The student
shall have the right to be accompanied by a registered student of the
University, a sabbatical officer of the Students’ Union, a member of
University staff or University chaplain. Legal representation shall not be
permitted. The relevant School may nominate a member of staff to attend
the meeting. Any member of staff against whom a complaint has been
made shall also be given the opportunity to attend the meeting. The
member of staff shall have the right to be accompanied at the meeting by
a member of University staff, a registered student of the University or a
University chaplain.
21.4 If the student is dissatisfied with the result of this investigation, he/she may
appeal to the Postgraduate Appeals Committee using the procedures set
out in section 22 below.
22. Appeals
22.1 The Postgraduate Appeals Committee comprises one of the Pro-Vice-
Chancellors (or their nominee) as the Chair and four Directors of
Research selected on a University-wide basis. School representatives will
20
take no part in the decision making when the appellant is from their
School, but may be asked to attend the meeting to provide information to
the Committee as required. A member of staff from the Postgraduate
Office will be Secretary to the Postgraduate Appeals Committee and will
be present throughout the proceedings.
22.2 No member of the Committee shall have had previous involvement in the
case. The University reserves the right to modify the Committee
membership as required, to reflect the diversity of the Northern Ireland
community.
22.3 The grounds on which an appeal may be made are as follows:
(a) where the appeal is against the outcome of an examination
(i) that there were procedural irregularities in the conduct of the
examination (including administrative error) of such a nature
as to cause reasonable doubt as to whether the examiners
would have reached the same conclusion had they not
occurred;
(ii) that there is evidence of inadequate assessment on the part
of one or more of the examiners;
(iii) that there is evidence of inadequate supervision. The
appellant shall be expected either to show that he/she took
action at the earliest possible stage to deal with any alleged
supervisory problems, or to explain why he/she did not take
such action.
Challenges to the academic judgement of the examiners shall not be
considered.
(b) where the appeal is against a School Postgraduate Research
Committee
(i) that the original decision was based upon an error in the
interpretation of the regulations;
(ii) that there was a procedural irregularity;
(iii) that the decision of the School Postgraduate Research
Committee was against the weight of the evidence;
(iv) that there exist extenuating circumstances of which the
School Postgraduate Research Committee was unaware.
22.4 In considering appeals, the Committee shall restrict itself to considering
only whether the original decision was fair and whether all relevant factors
were taken into account. It shall not question the academic judgement of
the examiners or the School Postgraduate Research Committee.
22.5 Appeals, in writing, must reach the Postgraduate Office within 10 working
days of the student being officially informed of the decision against which
21
he/she is appealing. The letter of appeal must state the grounds on which
the appeal is being made.
22.6 Confidentiality shall be respected at all stages of the procedure, and the
documentation – including the letter of appeal – shall only be released as
necessary to progress the appeal. The letter of appeal shall normally be
released to the following, who shall be given the opportunity to respond to
it in writing:
the Chair of the School Postgraduate Research Committee;
the Head of School;
the School’s representative on the Postgraduate Advisory Body;
the Dean;
the supervisor(s);
the examiners (in the case of an examination appeal);
any member of staff against whom the letter of appeal makes a
complaint.
Any responses received shall be released to the appellant and to the
Postgraduate Appeals Committee.
22.7 The Committee shall meet to hear the appeal, normally within one month
(two months during vacation times) of the receipt of the appeal in the
Postgraduate Office.
22.8 The appellant shall be given at least five working days’ written notice of
the date of the meeting at which the appeal will be heard and shall be
invited to appear before the Committee.
22.9 The appellant shall be advised that he/she has the right to be
accompanied by a registered student of the University or a sabbatical
officer of the Students’ Union or a member of staff of the University or a
University chaplain. Legal representation shall not be permitted. The name
of the person accompanying the appellant must be notified at least 48
hours in advance of the meeting to the Postgraduate Office.
22.10 The Committee shall have the right to seek such advice or additional
information from other sources as it may require, and may invite
appropriate individuals to attend the meeting to provide such advice or
information or to respond to any complaint made against them. Any
member of staff against whom a complaint has been made shall have the
right to be accompanied at the meeting by a member of University staff, a
registered student of the University or a University chaplain.
22.11 Where an appellant fails to attend the appeal meeting without good cause,
the Committee may consider the case and reach a decision in the
22
absence of the student and without further notice. It is the responsibility of
the student to establish ‘good cause’ to the satisfaction of the panel.
22.12 The appellant, with anyone accompanying him/her, anyone attending
under regulation 22.10 above, and the School’s representative on the
Postgraduate Appeals Committee shall all enter and leave the meeting at
the same time. They shall be asked to leave while the Committee
deliberates and reaches its decision.
22.13 The Committee may take any of the following decisions:
(a) in the case of an appeal against the outcome of an examination
(i) declare the examination null and void and direct that a new
examination be conducted. New examiners, including at
least one external examiner, shall be appointed: there shall
be no fewer examiners than for the original examination. The
School shall not inform the examiners that they are
conducting a re-examination on appeal. There shall be an
oral examination, and the examiners shall submit
independent and joint reports in the normal way;
(ii) recommend to the examiners that, for reasons stated, they
reconsider their decision;
(iii) give the appellant permission either to revise the thesis and
re-submit for re-examination within a specified time or to re-
register for a further period of time to undertake more
research before re-submitting the thesis. If the appeal has
been upheld on the ground of inadequate supervision, the
Committee shall recommend to the School that one or more
new supervisors be appointed for the further period of
research. The Committee shall specify whether the thesis is
to be re-examined by the same or new examiners;
(iv) reject the appeal.
(b) in the case of an appeal against the decision of a School
Postgraduate Research Committee
(i) ask the School Postgraduate Research Committee to
reconsider its decision;
(ii) vary the decision of the School Postgraduate Research
Committee;
(iii) dismiss the appeal.
22.14 The decision, with reasons, shall be communicated to the appellant in
writing within five working days of its having been made.
22.15 An annual anonymised report on appeals to the Postgraduate Appeals
Committee shall be prepared by the Postgraduate Office.
23
23. Copyright
23.1 All copies of a thesis submitted, whether or not adjudged by the examiners
to deserve the degree, remain the property of the University.
23.2. The copyright of a thesis belongs to the author.
24. Library regulations
24.1 Where the examiners recommend the award of a degree and before the
result is officially posted, the candidate must submit to the Examinations
Office two copies of the thesis bound in the manner of a book and certified
by the internal examiner as containing all corrections required by the
examiners. One of these copies shall be deposited in the University
Library and one given to the School concerned.
24.2 The Library copy shall be available to readers for consultation within the
Library, for loan to another institution and for copying, in whole or in part,
by the University Library or by the British Library Document Supply
Centre, on behalf of any bona fide institution or individual research worker.
24.3 Subject to the written approval of the supervisor and Head of School the
author of a thesis may instruct the Director of Information Services to
prohibit access to the thesis for a period normally not exceeding five years
from the date of deposit. Approval shall not reasonably be withheld. For an
extension of the prohibition on access beyond five years it is necessary to
obtain the approval of the Director of Information Services and the
Postgraduate Office. Access to a thesis may also be withheld on the
instructions of Senate to protect the interests of the University.
Note Where specific members of staff are designated in these regulations
to undertake particular School-related responsibilities, the relevant
Head of School retains the discretion to appoint a nominee.
Postgraduate Office
March 2007
24