Research Degrees
Summary of research degree
processes for supervisors
(Directly supported students)
supported students
1
1.1
Introduction
3
The role of the Research Degrees Office
3
SECTION A – SUPERVISION
2
The Code of Practice for Supervisors and Research Students
4
3
Supervision Policy
4
4
Conditions of Appointment
4
4.1
Lead supervisor
4
4.2
Supervisors
5
4.3
External supervisor
5
SECTION B – OTHER SOURCES OF SUPPORT AND INFORMATION FOR STUDENTS
5
Third Party Monitoring
8
6
Students with disabilities
8
7
Financial support
8
8
Research Training
9
9
Research facilities for Part-Time students
9
10
Library Services
9
11
Health and Safety
10
SECTION C – STUDENT JOURNEY
12
Application and Registration
12
12.1 Recruitment
12
12.2 Research degree student engagement
12
13
13.1
Progress
14
Probation assessment
14
13.2 Progress reporting
14
13.3 Managing Unsatisfactory Progress
14
13.4 Exceptional Change of Degree Registration
15
14
15
Submission and Examination
14.1 OU Research Degree Award Criteria
15
14.2 Notice of Submission and Submission
16
14.3 Examination Panels
16
14.4 The Examination
16
14.5 Result Approval
16
Last Updated: August 2015
Page 1 of 18
14.6 Corrections or Amendments
17
14.7 Resubmission
17
14.8 Completion
17
SECTION D – Additional Information
15
Intellectual Property Rights
18
16
Theses with Non-book content
18
17
Copyright
18
18
Plagiarism
18
Copies of all guidelines and forms referred to in this document are available the website
http://www.open.ac.uk/students/research/content/forms-and-guidance
The Research Degrees Student Handbook can be found at
http://www.open.ac.uk/research/research-handbook/
Page 2 of 18
1
INTRODUCTION
This document provides information about the role and responsibilities of supervisors of students
registered for a research degree at the Open University. It should be read in conjunction with the
Research Degrees Student Handbook. All of the documents referred to in the guidance are
available on the Virtual Research Environment. http://www.open.ac.uk/students/research/
If you have any queries or require advice please contact the relevant member of the research
degrees team who will be happy to help you:
[Insert contact details]
1.1 The role of the Research Degrees Office
The Research Degrees Office is responsible for the registration of all research students and is the
first point of contact for queries about administrative matters, including student registration, records
and fee liability. It is also responsible for the implementation of institutional policy developed by the
Research Degrees Committee. If you have any questions relating to this guidance or any of the
associated documents please contact the Research Degrees Office for clarification.
Page 3 of 18
SECTION A - SUPERVISION
2
THE CODE OF PRACTICE FOR SUPERVISORS AND RESEARCH STUDENTS
This section should be read in conjunction with the ‘Code of Practice for Supervisors and Research
Students’
The code of practice sets out guidelines for the conduct of the relationship between research
students and supervisors.
The Student Handbook is a key document which underpins the student’s relationship with The
Open University. It contains detailed information about The Open University, Codes of Practice,
formal procedures, and The Open University Research Degree Award Regulations.
Good supervision is an important contributing factor to a student’s successful and timely completion
of his/her research degree. It is the role of the Research Degrees Office and the Faculty to ensure
that as a supervisor you have access to all the necessary information and training to enable you to
carry out the supervision role effectively.
You are a member of a supervision team containing a minimum of two supervisors, one of whom will
be appointed the Lead Supervisor. The Lead Supervisor is the main point of contact for the student
taking day-to-day responsibility for administrative issues and processes required for student
registration, progression and completion. The other supervisor(s) may meet with the student on a
less frequent basis than the Lead supervisor however they share joint responsibility for the full range
of supervisory activities required to support a student from initial induction to completion of their
studies
The roles and responsibilities of supervisors and research students are outlined in the OU Code of
Practice for Supervisors and Research Students’.
3
SUPERVISION POLICY
All Faculties and supervisors are expected to adhere to the provisions within the Supervision Policy.
It is essential that all supervisors understand the policy as it provides a framework through which the
University supports the relationship between supervisors and students. This can be found at:
http://www.open.ac.uk/students/research/content/forms/supervision-policy
4
CONDITIONS OF APPOINTMENT
All supervisor appointments require Research Degrees Committee approval.
Heads of discipline are responsible, in consultation with their colleagues, for recommending
supervision teams to the Research Degrees Committee. If one of the nominated internal
supervisors is based in the same academic unit, but in a different discipline from the discipline that
the student is to be registered in, the approval of that supervisor’s head of discipline is also required.
Similarly, if one of the nominated internal supervisors is based in a different academic unit from the
one that the student is to be registered in, the approval of that supervisor’s dean is required.
4.1
Lead Supervisor
University policy requires those appointed as Lead Supervisor to have:

academic expertise in the area of the proposed research topic

an appointment as a member of academic staff at The Open University, or other formal
contractual arrangement with The Open University.

a PhD or a Professional Doctorate (although a supervisor without a PhD may be considered if
they are an established researcher with appropriate expertise and other members of the team
have a PhD)
Page 4 of 18

experience of UK research degree supervision, including supervision to successful completion
of at least one student1

sufficient time to carry out their responsibilities in the provision of quality supervision and
support for students.
4.2
Supervisors
University policy requires those appointed as a supervisor to have:

academic expertise in the proposed area of research

an appointment as a member of academic staff at The Open University, or other formal
contractual arrangement with The Open University.

a PhD or a Professional Doctorate (although a supervisor without a PhD may be considered if
they are an established researcher with appropriate expertise and other members of the team
have a PhD)

sufficient time to carry out their responsibilities in the provision of quality supervision and
support for students
Supervisors should not normally be reading for a research degree themselves.
Where a student is a member of staff the supervisor should not normally be their line manager.
Supervisors may only be appointed who have the capacity to supervise for the duration of the
student’s registration and are likely to retain interest and knowledge in the research area for the
length of the student’s degree.
Supervisors should not have a close personal relationship with the student they are appointed to
supervise. If a relationship develops after the appointment has been made, the Faculty should make
alternative arrangements for the student’s supervision.
4.3
External Supervisors
The appointment of external supervisors should not be the norm, but should be considered on the
basis of student locality, access to internal supervisors and the expertise of the internal supervision
team.
All supervisors will need to be able to demonstrate their right to work in the UK. No supervisory
duties should be undertaken until an official letter of appointment has been issued subsequent to the
appropriate checks.
i.
External supervisor conditions of appointment
Those appointed as external supervisors will not be treated as employees of the University.
They should normally be of lecturer status in a university or institution of equivalent standing.
Members of The Open University’s staff cannot be appointed as external supervisors.
ii.
Payment rate
The payment rate for external supervisors is currently £438 per annum. This fee is paid in two
equal instalments, usually in June, in respect of supervision during all, or part of, the period
between 1 January and 30 June and in December in respect of supervision during all, or part of,
1
Where the Lead Supervisor does not meet this criteria the other supervisor must have experience of supervision to successful
completion of at least one UK research degree student.
Page 5 of 18
the period 1 July to 31 December, up to the time of the award of the degree to the student, or
the termination of the student’s registration, (see Section 13.3).
iii.
Method of payment
All expense and fee payments will be made by automatic bank transfer. External supervisors
will be sent a payment advice notification which provides details of the payment and confirms
the account in to which payment has been made. In the case of supervisors who are also Open
University Associate Lecturers, supervisor payments may be made with tutor payments. This
may involve some variations to the payment dates given above.
Income tax
Supervisor fees will be taxed at source at the standard rate.
iv.
Income tax exemption
If you believe that taxation at the standard rate is inappropriate you should telephone HM
Revenue and Customs (HMRC) on 0300 200 3300 or go to
https://www.gov.uk/browse/tax/income-tax
You can write to the HMRC at:
Customer Operations
Saxon House
No 1 Causeway Lane
Leicester
LE1 4AA.
The Open University is unable to act upon direct requests from external supervisors or their
advisers to change their tax code. The only acceptable authorization is an instruction from the
HMRC.
v.
National insurance
External supervisor fees are subject to national insurance contributions.
vi.
Travel and subsistence expenses
The University will reimburse travel and subsistence expenses incurred within the UK by
external supervisors for meetings with internal supervisors and students. This includes visits to
the place where the student is undertaking research, for the purpose of inspecting or advising
the student about the use of research materials and research facilities. All external supervisor
expenses will be reimbursed at the actual cost of standard class public transport. Approval for
travel by car will be granted if the use of public transport is genuinely not possible, a full
explanation must be provided. External supervisors may claim telephone and postage costs
incurred in the course of their duties. Expenses will also be reimbursed for attending research
degree student seminars organised by the University.
Any claims for subsistence will be subject to the University’s maxima. Expense claims must be
submitted within two months of the expenditure being incurred. If in doubt, external supervisors
are encouraged to enquire from the Research School in advance whether their claim will be
met. Details of expenses should be entered in the appropriate section of the expense claim
form with receipts attached. Please include the student’s name on the reverse of the expense
claim form. The claim form must be signed and sent to the Research School, within two months
of the expenses being incurred. Expense claim forms are available from the Research Degrees
Office
vii.
Insurance cover
The University has arranged insurance cover in respect of its legal liability arising out of the
engagement of external supervisors. This cover does not extend to acts committed outside the
Page 6 of 18
supervisor’s normal duties or whilst driving a motor car in the course of employment as a
supervisor.
viii.
Motor insurance
External supervisors who are likely, in the performance of their duties, to use their private motor
vehicles must ensure that the terms of their motor insurance policies cover them for use in
connection with their ‘business, trade or profession’. Most standard forms of motor vehicle
insurance do incorporate a clause of this nature, but appointees in doubt should consult their
insurers without delay. The University reserves the right to call for evidence of cover before
paying allowances.
ix.
Illness
The University regrets that it will not be able to make payments in respect of duties not
completed as a result of illness.
x.
Duration of appointment
External supervisors will normally be appointed from the date of the student’s registration with
the University (some appointments will be made after the student has started her/his studies)
until the student is either awarded a research degree or ceases to be registered for any reason.
The appointment will include the period in which students may be required to correct or revise
their thesis after examination. The appointment and payment of external supervisors continues
during any period in which the student’s registration is temporarily suspended. Where an
external supervisor joins the University’s salaried staff, the appointment will be changed to that
of an internal supervisor.
xi.
Termination
The University reserves the right to terminate the contract of external supervisors, subject to
safeguards to protect the supervisor from arbitrary dismissal. When a contract is terminated
either by the University or by the supervisor, payment will be made only for actual duties
performed as determined by the University. Any external supervisor may terminate her/his
contract by giving one month’s notice in writing to the Research Degrees Office.
xii.
Revision of policy
The University reserves the right to revise policy and payment rates at any time.
Page 7 of 18
SECTION B - OTHER SOURCES OF SUPPORT AND INFORMATION FOR STUDENTS
5
THIRD PARTY MONITORING
Third party monitoring is a system of support which the Open University expects Faculties to have in
place for Open University research students which:
(a)
(b)
(c)
(d)
provides pastoral support for the student outside the supervisory environment
identifies and resolves potential problems, thus avoiding impeded progress
provides a dispassionate view if difficulties arise.
identifies resource management problems (staff time, equipment etc.).
Guidelines which provide further information about third party monitoring are available for research
supervisors at http://www.open.ac.uk/students/research/content/forms/third-party-monitoringguidelines-staff and for students at http://www.open.ac.uk/students/research/content/forms/thirdparty-monitoring-guidelines-students
Full time students may also make use of the Employer Assistance Programme (telephone
counselling service).
6
STUDENTS WITH DISABILITIES
Students are encouraged to take part in all student activities, and the University will take all practical
steps to enable them to participate in University life as fully as circumstances allow. The Office for
Students with Disabilities at Walton Hall is concerned with co-ordinating the provision of services.
Students who could benefit from these services may not necessarily see themselves as disabled,
since only one aspect of their studies may present them with problems. For research students such
problems are difficult to categorise and may depend upon the field of research chosen and the
facilities it demands. The Office for Students with Disabilities will be pleased to offer its expertise
though it may not be able to help in areas which are very specialised. It may sometimes be able to
put students in touch with outside agencies, better able to offer services or help with grants to
overcome study problems. In the first instance students and supervisors may consult the Research
Degrees Team, who will refer the matter to the Office for Students with Disabilities as necessary.
Further information regarding support can be found in the Student Handbook.
7
FINANCIAL SUPPORT
The University can offer limited financial support to those students who find themselves in need.
Funded students may apply for a grant extension once their grant has ended.
Full time research students with dependants who are resident in the UK may make an application to
the Dependants fund.
There are also schemes supported by OUSET.
Students in need of support for unforeseen financial hardship may apply from OUSET financial
support.
Research students who are in the write up phase may apply for assistance in meeting their fee
liabilities.
Disabled students may be eligible for a Disabled Students’ Allowance. Information on this can be
found in the Student handbook and at http://www2.open.ac.uk/study/support/disability/dsa-eligibility
Page 8 of 18
8
RESEARCH TRAINING
Research and professional skills development is an important component of the research degree.
The Research Career Development Team organises the main induction events and will show the
students and supervisors how to access training and development resources and book themselves
onto further events throughout the year.
http://www.open.ac.uk/students/research/content/training-options
Students and supervisors are expected to engage with the Researcher Development Framework
(RDF) spear headed by Vitae. This framework provides information and guidance for research
career development. It is intended to support the professional development of students throughout
their PhD and beyond. It is therefore important the supervisors use the RDF with the student as a
tool to develop their development as a researcher. The University has a licence for the Personal
Development planner tool and this is available for both students and staff. Further information on
professional development and use of the RDF can be found on the Virtual Research Environment.
http://www.open.ac.uk/students/research/content/your-professional-development
and at
https://www.vitae.ac.uk/
In addition there are resources on the Virtual Research Environment specifically to support the
development of supervisors.
http://www.open.ac.uk/students/research/supervisors
9
RESEARCH FACILITIES FOR PART-TIME STUDENTS
The University cannot usually provide laboratory or computing facilities for part-time students. The
exception being those who are part of a DTP. Part-time students are normally responsible for the
provision of their own research facilities and covering their own research costs.
10
LIBRARY SERVICES
The OU Library http://www.open.ac.uk provides access to world class, high quality academic
resources to support your research.
EThOS, a service from the British Library, provides free online access to a large selection of UK PhD
theses from participating universities. There is also access to some OU-awarded theses via the
OU’s institutional repository Open Research Online (ORO). See
http://www.open.ac.uk/library/library-resources/theses-dissertations for further information.
Library Services is a member of the SCONUL Access scheme which enables you to gain access to
and borrow books from other University libraries. See http://www.open.ac.uk/library/help-andsupport/libraries-near-you for further details.
All research students can take advantage of the document delivery request service which provides
access to items that are not available through Library Services’ wide range of resources. Further
details can be found at http://www.open.ac.uk/library/services/document-delivery
The Library Helpdesk, which provides specialist information advice, is available to support you with
all your library needs seven days a week, the helpdesk contact details are available on every page
of the library website http://www.open.ac.uk
The Library page of the VRE http://www.open.ac.uk/students/research/ gives further details of all
services available to research students.
Page 9 of 18
11
HEALTH AND SAFETY
The University wants to ensure the health and safety of all persons on site and off site, for example
for the purposes of field work. In order to do this and to comply with legislative requirements the
work a student will be undertaking in laboratories or in the field must be risk assessed.
The risk assessment must be completed by you as supervisor prior to any work commencing.
Students must be informed of any significant risks that you have identified and be provided with
specific instructions/procedures that they must follow to prevent causing harm to themselves or
others. Staff must be able to demonstrate that they have exercised an effective supervisory role.
This role will be exercised within a context of departmental procedures and monitoring
arrangements.
An outline of the expectations is contained within the Student Handbook. Please also refer to the
The Open University Health & Safety intranet site at http://intranet6.open.ac.uk/humanresources/health-safety
Page 10 of 18
SECTION C – STUDENT JOURNEY
Research student journey and key documents
Application
Process
Online prospectus
Application form
Selection
Process
Recruitment guidelines
Applicant
recommendation form
Reference request
Supervisor CV form
Confirmation of Right to
Work
Registration
Process
Study
Process
Exams
Process
Completion
Process
Thesis deposition form
Confirmation letters
Online offer pack
Acceptance form
Staff fee waiver form
Sponsorship agreement
Accommodation website
Financial support
Supervisor acceptance form
Online registration pack
Student payment form
New bank account form
Medical form
Visa files
Probation report
Progress report
Suspended registration form
Return to study form
Extension/Change of Study Mode
form
Withdrawal form
Grant extension form
Supervisor change form
Attendance monitoring for Tier 4
Annual document checking for Tier 4
Academic progress procedures
Exam guidelines
Examiner & EPC CV form
Examiner acceptance form
Candidate declaration form
Exam arrangements form
Exam Panel nomination form
Pre-viva report form
Ratification summary template
Study period
Notice of
submission
Bound copies
recieved
Exam panel
nomination and
appointment
Sent to library/
accepted by library
Submission of thesis
Confirmation of
completion
Exam arrangements
Request Title and
degree
Enquiry
Selection
Registration
documents (original
copies)
Prospectus
Recommend
appllicant (or reject)
Financial support
Fee payment/ grant
arrangements
Application –
application form,
proposal, degree
certificates (and any
documents
specified in
advertisement)
Supervisors
identified
Registration
Create student
record
Offer
Induction
Application sent to
faculty
Acceptance
Viva
Degree ceremony
ATAS if required
Ratification
Career!
CAS if required
Result
Appointment of
supervisors
confirmed
Probation
Progress
Suspended registration
Extension/change of study
mode
Supervisor change
Withdrawal
Grant extensions
Invoicing & debt
containment
Re-certification of Tier 4
documents
Attendance monitoring
Career development
Underpinned by
VRE
Resubmission
Corrections/
amendments
Corrections/
amendments sent
for checking
Confirmation of
academic
requirements met
Research Degrees Office, 2015
Last Updated: August 2015
Page 11 of 18
12
APPLICATION AND REGISTRATION
12.1 Recruitment
Information on the application process can be found in the Recruitment guidelines at
http://www.open.ac.uk/students/research/content/forms/recruitment-guidelines
Where an applicant is from overseas it is also necessary for supervisors to consult the Tier 4
Guidance.
i.
Research degree student fee liability
Fee liability for full-time research degree students is incurred in accordance with the conventional
academic year, 1 October - 30 September.
Part-time research degree students are required to pay an annual registration fee which covers the
period 1 October to 30 September. The Student Handbook provides further information about fee
liability for self-funding students and those in the post funded period.
Students may also incur fees post examination if the outcome is a resubmission.
http://www.open.ac.uk/research/research-handbook/part-2-terms-and-conditions-registration/24-fees
ii.
Residency requirements for students
It is a requirement that students will normally reside in the UK. The regulations permit limited
exceptions to this rule (RD 2.1.4). Full time students are expected to live within easy commutable
distance to Milton Keynes. Part time students may live further away but are still expected to engage
fully with the University and the research community.
12.2 Research Degree Student Engagement
a) Mode of study
Students are registered to study either full-time or part-time. A student registered to study full-time is
expected to spend a minimum of 35 hours per week on their studies and must fulfil the following
criteria:
i.
The student must either:

be in receipt of a grant, bursary or studentship of not less than three and not more
than four years duration for the project for which s/he is seeking registration
or

ii.
have funds available which will:

support her/him and pay any fees due

support the project costs

be available for a minimum of 3 and a maximum of 4 years.
The student must not have any other paid employment during the period of the
studentship (other than part-time for a maximum of 6 hours per week2).
There are no prescribed hours for students registered to study part-time. However it should be
noted that the timescales for part-time registration indicate that students need to work at half the fulltime rate in order to complete within the maximum registration period. Consequently part time
students are expected to spend a minimum of 18 hours per week on their studies.
2
Where the employment is directly related to her/his research degree this may be aggregated over a period to allow for longer periods
of employment.
Last Updated: August 2015
Page 12 of 18
b) Registration Period
The table below shows the minimum and maximum terms of registration. Students may request but
are not automatically entitled to periods of suspension (see below) and may in exceptional
circumstances request an extension to their maximum registration date.
Full Time
Part Time
Degree
MPhil
PhD
MPhil
PhD
EdD
Minimum
1yr 3m
2yrs
2yrs
3yrs
3 yrs 6m
Maximum
4yrs
4yrs
6yrs
6yrs
6yrs 6m
c) Suspension of registration
For information on suspension of registration please refer to the Student Handbook and the
Suspended Registration Form. Please note that the eligibility for suspension is not the same for all
categories of student, it is dependent upon the mode of study and funding.
It is good practice to undertake a ‘return to study’ interview with the student within the first week of a
student’s return from a period of suspended registration in order to set out a detailed work plan and
supervision schedule for the remainder of the project. The Return to Study form should be
completed and sent to the Research Degrees Office for reference.
Please note that retrospective suspensions are not normally considered.
d) Extension of registration and/or change of mode of study
Exceptionally the Research Degrees Committee may consider requests for extensions to the
maximum periods of study provided the student is making satisfactory progress and a successful
submission can be anticipated.
Full time students who are unable to submit their thesis for examination by their four year registration
deadline may in exceptional circumstances apply to continue their registration in one of two ways:
 Continue as a full-time student for a period of months specified in the thesis project plan
(maximum 5 years as a full-time student).
 Transfer to part-time status which may extend the thesis submission deadline by up to 24
months.
If a student wishes to continue as a full-time student beyond the four year registration deadline, they
will be required to commit to full-time terms and conditions of study which limit them to undertaking
no more than 6 hours of paid employment per week.
Approval of any extension to registration or change of study mode is subject to satisfactory progress.
The request for an extension should be submitted to the Research Degrees Office using the
Extension / Change of Study mode form. The student should provide a timetable to completion to
support the request.
The Research Degrees Office will confirm the outcome of the application for an extension of
registration.
For more information on registration extensions and changes to mode of study please see the
guidance on the Extension / Change of Study mode form and the relevant section of the Student
Handbook.
e) Change of mode of study
Students may apply to change their mode of study.
Page 13 of 18
Students who wish to change mode at the end of their registration period in order to gain an
extension should use the Extension / Change of Study Mode form as outlined in the section above.
All other requests for a change of mode should be made on the Change of Mode forms available on
the VRE.
f) Withdrawal
If the student withdraws from her/his research degree registration, a Withdrawal form should be
completed and sent, by the ARC research degree co-ordinator, to the Research Degrees Office.
The Research Degrees Office will confirm the withdrawal of the research degree registration.
For more information about withdrawal of registration please see the guidance on the Withdrawal
form and the relevant section of the Student Handbook.
13
PROGRESS
Student progress should be appropriately managed in a number of ways:
13.1 Probation Assessment
The first period of a student’s registration is a probation period, Probation should be completed
within twelve months for students registered to study full-time and 24 months for those registered to
study part-time. The probation assessment report should involve a major review of the student’s
progress so that a recommendation can be made about which degree s/he is to be registered for, i.e.
PhD or MPhil. Any remedial work should be completed as soon as possible and ideally prior to the
student entering the next year of study.
Towards the end of a student’s probation period the Research Degrees Office will write to the
Faculty requesting a Probation form. For full-time students, the form should be completed and
returned to the Research Degrees Office by the end of the student’s eleventh month of registration.
For part-time students, the reports should be completed and returned to the Research Degrees
Office by the end of the student’s twenty-third month of registration.
The Research Degrees Office will confirm the outcome of the probation assessment review to the
Faculty, who will inform the student and her/his supervisors of the outcome.
For more information on probation assessment please see the guidance on the Probation form and
the relevant section of the Student Handbook.
13.2 Progress Reporting
The Open University Research Degrees Committee requires regular progress reports for all
students. These should be conducted every six months within the Faculty with annual reports to the
Research Degrees Committee. Reports should be completed by all parties and returned to the
Research Degrees Office by the published deadline.
For more information on progress reporting please see the guidance on the Progress report form
and the relevant section of the Student Handbook.
13.3 Managing Unsatisfactory Progress
Registration on the research degrees programme is subject to the student continuing to make
satisfactory progress.
If you as supervisors are not satisfied with the progress made by a student, attempts should be
made to ascertain if there are any specific reasons for his/her lack of progress. As supervisors you
should make the student aware of the concerns about her/his progress and provide him/her
opportunities to rectify the problem and set specific targets for achievement.
Detailed guidance can be found in the Managing Unsatisfactory Progress document. The Faculty
should be in a position to demonstrate that these guidelines have been followed before a
Page 14 of 18
recommendation is made to terminate a student’s registration due to lack of academic progress
using the De-registration form.
For more information about de-registration please see the guidance on the De-registration form.
13.4
Exceptional Change of Degree Registration
Recommendations for a change of degree registration from MPhil to PhD can only be made once
the student has successfully completed her/his probationary period and this has been ratified by the
Research Degrees Committee. Any subsequent recommendation for a change of degree registration
may be made at any point up until the thesis is submitted. Any proposed changes to degree
registration must be discussed with the student concerned.
In order for the Research Degrees Committee to consider a change of registration from MPhil to
PhD after MPhil registration has been confirmed at probation stage, the student must undergo a
further mini-viva assessment at the Faculty in order to demonstrate their capability for undertaking
research at that level. A further Probation form should be completed by the student, the
supervisors, the mini-viva assessors and the Faculty, and the student’s project report should be
appended to the form. The project report should include:
(a)
(b)
(c)
(d)
(e)
A viable research question
A critical literature review which situates the proposed research
A research proposal including an outline of method(s) and a critical justification for
them
Any results obtained to date and preliminary analysis
A work plan for the project (with a detailed timetable of dates for completion of
component parts and thesis submission)
In order for the Research Degrees Committee to consider a change of registration from PhD to
MPhil, a rationale for the change should be submitted to the Research Degrees Office, from the
supervisors and the Faculty, together with confirmation that the student has been consulted and is in
agreement with the proposed change in degree registration.
14
SUBMISSION AND EXAMINATION
14.1 OU research degree award criteria
The current criteria for the award of an OU research degree are set out below.
 Master of Philosophy
The thesis must be of good presentation and style, and show evidence of the student’s
proficiency in the methods and techniques of research, demonstrating an adequate knowledge
and discussion of the literature in a specific field of study. It must show initiative,
independence of thought and must be a distinct contribution to scholarship. Including
footnotes and appendices the thesis should be a maximum of 60,000 words.
 Doctor of Philosophy
The thesis must be of good presentation and style and show evidence of being a significant
contribution to knowledge and of the student’s capacity to pursue further research without
supervision. The thesis must contain a significant amount of material worthy of publication.
Including footnotes and appendices the thesis should be a maximum of 100, 000 words.
It is an expectation that all doctoral degrees are awarded in accordance with ‘The Frameworks for
Higher Education Qualifications of UK Degree-Awarding Bodies’. For your reference the section
relevant to doctoral qualifications is 4.18. The complete document can be found at:
http://www.qaa.ac.uk/en/Publications/Documents/qualifications-frameworks.pdf
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14.2 Notice of Submission and Submission
Students should be informed that they must give a minimum of three months notice of their intention
to submit a thesis for examination to the Research Degrees Office using the Notice to Submit form.
This is needed in order to allow you as supervisors sufficient time to make the examination
arrangements and ensure that the following deadlines are met.

The examination panel should be appointed prior to submission (please see section 7.2).

The examination should normally take place within six weeks of the submission date.
When the student gives notice to submit to the Research Degrees Office, they will be sent a copy of
the Examination Guidelines for Students and shown where to locate the Candidate Declaration
form. Supervisors should receive the Examination Guidelines and asked to consider potential
examiners.
Where the student’s thesis is to contain non-book content please also refer to the document
Submission of Theses containing Non-Book Content and Non-Book checklist
Before their registration deadline the student must submit 3 copies of her/his thesis, together with
the completed Candidate Declaration form to the Research Degrees Office. Supervisors should
complete the relevant section of the form. The completed Candidate Declaration form is submitted
to the Research Degrees Office.
14.3 Examination Panels
Well in advance of submission, you should complete the Examination Panel Nomination form, and
send it to the Research Degrees Office with a completed Examiner and EPC CV form for each
examiner and the Examination Panel Chair (EPC). Please ensure that in nominating the panel you
adhere to the guidelines and avoid conflicts of interest. Either the supervisors or Associate Dean
Research (or nominee) must confirm with the examiners that they would be willing to examine the
thesis, should the nomination be approved.
The Research Degrees Office will arrange for the nomination to be considered by the Research
Degrees Committee.
Once the examination panel has been approved the Research Degrees Office will write to the
examiners formally confirming the appointment on behalf of The Open University.
For more information on examination panels please see the Examination Guidelines
14.4 The Examination
The Faculty is responsible for arranging the viva voce examination and for ensuring that all parties
are aware of the arrangements. It is essential that the student does not have any contact with the
examiners prior to the examination; all contact must be made by the Examination Panel Chair.
For more information on examination arrangements and procedure please see the Examination
Guidelines
14.5 Result Approval
Once the recommended exam result has been approved on behalf of the Research Degrees
Committee a letter confirming this and giving the deadline for the completion of any corrections,
amendments or revisions will be sent to the student, her/his supervisors, Head of Department and
members of the examination panel. This confirmation should make clear the deadline for the
completion of any corrections, amendments or revisions.
For more information on examination outcomes and approval please see the Examination
Guidelines
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14.6 Corrections or Amendments
It is the expectation that students continue to receive supervision during a period of corrections,
amendment or major revision to the thesis.
14.7 Resubmission
If the student has been permitted to submit her/his thesis for re-examination the examination
process must be started again and a second viva held with, wherever possible, the same
examination panel. The student must submit three copies of the thesis as before and a new
Candidate Declaration form.
Students who are required to resubmit their thesis will be required to pay additional fees. Information
on the fee level can be obtained from the Research Degrees Office.
For more information on examination result ratification please see the Examination Guidelines and
Resubmission Supplementary Examination Guidelines
14.8 Completion
The student should provide 2 bound copies of the thesis, an additional copy of the thesis abstract,
and a signed Thesis Deposition form which should be sent to the Research Degrees Office. From
2015/16 all students will be expected to deposit an electronic copy of their thesis in the library.
The Research Degrees Office will arrange for the bound copies to be accessioned into The Open
University Library, and will then confirm in writing that the student has been awarded the degree and
provide information about the arrangements for the conferment of the degree.
For more information on the requirements for the bound copies and thesis deposition see the
Examination Guidelines for Students.
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SECTION D
ADDITIONAL INFORMATION
15 Intellectual property rights
In the same way that staff are required to assign their intellectual property rights (IPR) to the OU
under the terms of their employment, research students are required to assign their IPR to the OU,
unless they are bound by an intellectual property agreement with a third party, such as a sponsor,
and have assigned their IPR to that third party. This policy gives students the same rights as staff to
a share of any money made from the commercialisation of their research results. Research students
hold the copyright to the text of their thesis.
16 Theses with non-book content
The University’s research degree regulations (RD 6.2.2, 6.2.9 and 6.2.14) as stated in the Student
Handbook provide for the submission of theses containing ‘non-book’ media in conjunction with the
written (‘book’) part of a thesis.
It is the responsibility of the supervisors to ensure the guidelines are followed, see Non-book thesis
guidelines http://www.open.ac.uk/students/research/content/forms/non-book-thesis-guidelines. The
supervisor has a significant role in guiding the student through this process, and preparing students
to present the non-book component along with the standard text thesis.
Where it is intended that the student’s thesis will contain non-book content please also refer to the
Non-Book thesis reporting checklist http://www.open.ac.uk/students/research/content/forms/nonbook-thesis-reporting-checklist
17 Copyright
It is the responsibility of the supervisor to ensure that the student is aware of any copyright issues in
relation to their thesis. Please note that there is no central provision of funding to pay for copyright.
In the absence of permission to include material that has a copyright in a thesis, materials may have
to be redacted prior to e-deposition.
18 Plagiarism
All students must be made aware of the University’s position on plagiarism. Materials on how to
avoid plagiarism can be found at: http://intranet6.open.ac.uk/library/main/news/digital-skills-tackleplagiarism
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